A FINRA Panel awarded Claimants Malvin G. Johnson, Jr. and Dana Johnson damages against investment bank Wells Fargo Advisors, LLC stemming from their investments in real estate related…
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According to a Letter of Acceptance, Waiver, and Consent (“AWC”) with FINRA , Cantor Fitzgerald & Co. consented to a public censure, a fine of $6 million, and…
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A FINRA Panel recently awarded Claimant Caroline Pruett $100,000 in compensatory damages relating to allegations of unauthorized trading in her account with UBS Financial Services, Inc. According to…
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A Massachusetts FINRA Panel recently awarded Claimant Genevieve Lenehan over $1 million in damages – including punitive damages and attorneys’ fees -- against investment adviser Justin Amaral and…
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According to a Letter of Acceptance, Waiver, and Consent (“AWC”) with FINRA, Comprehensive Asset Management and Servicing (“CAMS”) consented to a public censure and a fine of $475,000.…
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A “consolidated report” is a document provided by a registered representative, such as a broker or investment adviser, to a customer that combines account information regarding most or all of a…
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