Articles Tagged with FREE

AdobeStock_33766885-1-300x200Why #UBS “inmates were ready to riot” and how the firm stemmed a “mutiny on the bounty” by reversing its decision on client non-solicitation agreements.
https://www.investmentnews.com/article/20180226/FREE/180229937/ubs-buckles-to-pressure-over-non-solicitation-agreements

AdobeStock_17723177-1-300x175What could happen if the Supreme Court sides with the Trump administration on the question of class-action litigation waivers in arbitration agreements. The entire article can be viewed below…

https://www.investmentnews.com/article/20170707/FREE/170709975/supreme-court-could-put-pressure-on-finra-class-action-policy

Andrew Stoltmann discusses with Investment News today the parade of horribles engaged in by brokerage firm Berthel Fisher and the latest regulatory action against them.

https://www.investmentnews.com/article/20170420/FREE/170429994/berthel-fisher-once-again-in-hot-water-with-finra-for-failing-to

Why FINRA Enforcement is cracking down on “cockroach” brokers. The entire article can be viewed at the link below. The most recent case is that of 10 employees, including the president, of the now-defunct Global Arena Capital Corp out of New York City, left their former firm where they were accused of using misleading sales pitches, churning account and other violations. Before that, a group of seven brokers, who were being supervised, left HFP Capital Markets to join Global Arena. These cases are examples of “cockroaching,” a practice in which brokers stay in the securities industry by moving between risky or expelled firms while committing securities violations. See link below

https://www.investmentnews.com/article/20150915/FREE/150919947/finra-cracks-down-on-cockroach-brokers

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