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The U.S. Federal Maritime Commission says it has received more than 175 charge complaints from U.S. shippers against ocean common carriers since the enactment of the Ocean Shipping Reform Act...
Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,...
Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement...
In first disciplinary action under Reg BI, FINRA fined broker $5,000, issued a six-month suspension from allegations broker engaged in excessive trading for outsized commissions. FINRA released Regulatory Notice 22-20 changing Sanctions Guidelines.
“Nothing indicates that Wells Fargo manipulated the arbitrator pool, the appeals court in Georgia ruled.