Displaying 26 results
Trading app Fennel seeks to win customers with ESG data
The subscription-based service’s key feature is its in-app ESG data and rankings, which provides information to retail investors on public companies’ environmental, social and governance practices.
Finra panel orders Houston firm and two reps to pay $2 million for securities sales
Eight IRA owners to get damage payments from IMS Securities and brokers.
Finra bars rep for $15M in unauthorized trades for retiree
Craig David Dima has been barred from the securities industry for making unauthorized and unsuitable trades totaling approximately $15 million in a 73-year-old retiree's account, and for misrepresenting the reasons for the trades to the customer.
Elderly investors win $1.25 million Finra arbitration over failed medical start-up investments
The claimants alleged the Connecticut investment bank negligently supervised its broker.
Finra arbitration panel orders broker to pay $331,000 for unsuitable investments
A Finra arbitration panel hit an adviser with an order to pay $331,000 in compensatory damages after finding…
Finra wants to ease membership application process, while still protecting investors
New report details proposed changes in rules and material it requires from broker-dealers.
