Finance News
FINRA Bars Illinois Broker for Not Disclosing Private Securities Transactions to B/D
David Geake solicited an elderly couple to pledge securities as collateral for a bank loan to support a startup the rep had invested in, but the couple allegedly lost their money when the company failed.
By NB
Jul 13, 2023
BofA to Pay $250M Over Extra Fees, Unauthorized Cards
Separately, Merrill Lynch was fined $6 million by the SEC for failing to file hundreds of Suspicious Activity Reports from 2009 to 2019.
By NB
Jul 13, 2023
A Tech Company's Perspective on How AI Will Impact Commercial Real Estate
AI is here to stay and has the potential to radically transform how commercial real estate stakeholders operate and transact.
By NB
Jul 13, 2023
Raymond James to Pay $12.5M for 'Unreasonable' Commission Charges
State regulators claim Raymond James charged customers a a $75 minimum commission charge, regardless of the size of the transaction.
By NB
Jul 13, 2023