Our experts frequently write blog posts about the findings of the research we are conducting.
FINRA Press Release: FINRA Sanctions Citigroup
"it has imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee....
FINRA Press Release: Provident Asset Management
"it has expelled Provident Asset Management, LLC, a Dallas-based broker-dealer, for marketing a series of fraudulent private placements offered by its affiliate, Provident Royalties, LLC, in a massive Ponzi scheme."
FINRA Press Release: Structured Products
FINRA Press Release: Best Practices