An Elderly Widow Got Scammed by Imposters. Now Morgan Stanley Must Pay Her $843,000.
The widow claims Morgan Stanley should have done more to slow or block her withdrawal of more than $2 million from the firm.
InvestmentNews13h
Finra sanctions smoothie-throwing broker over alleged cash reporting failures
Former Merrill Lynch broker James Iannazzo, who was fired in 2022 after his tirade at a smoothies shop in Connecticut went ...
Webuy Global Ltd. Provides Update on Nasdaq Listing and Strategic Growth Initiatives
Singapore, Feb. 13, 2025 (GLOBE NEWSWIRE) -- Webuy Global Ltd. (NASDAQ: WBUY) (“Webuy” or the “Company”), a leading AI-driven e-commerce and travel platform, today provided an update regarding its ...
JD Supra1d
FINRA’s 2025 Annual Regulatory Oversight Report: Playing the Hits, With Some Important Additions
Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such as financial crimes prevention, ...
JD Supra2d
Client Alert: Navigating FINRA’s 2025 Third-Party Risk Updates: Compliance Strategies for Financial Institutions
Every year, the Financial Industry Regulatory Authority (FINRA) issues an Annual Regulatory Report in an effort to provide ...
The National Law Review2d
FINRA Facts and Trends: February 2025
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting ...
InvestmentNews6d
Advisor fighting Finra banishment loses $17.7 million dispute with old firm
A broker who is already challenging the Financial Industry Regulatory Authority Inc.’s order last year to bar him from the ...