Investors suffer losses as brokerage firms like Robinhood, Webull, TD Ameritrade and M1 Finance restrict trading in Gamestop, AMC, Nokia and other stocks. Any investor that has followed the news in the past week has since the incredible rise of so-called “Reddit...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: February 2021
Recent Posts
- FINRA enforcement chief outlines plans for protecting investors and markets
- SEC fines and censures 5 investment advisers over marketing rule violations
- OMB review completed on Department of Labor’s proposed fiduciary rule
- FINRA penalizes Florida broker-dealer and CEO over texting violations
- SEC charges Senvest Management with widespread recordkeeping violations
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