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By Michelle A. Samaad |
April 6, 2011
After hearing both sides, a Financial Industry Regulatory Authority panel recently denied all claims made by the estate that was seeking more than $2 million against an investment adviser that worked for a broker-dealer acquired by SECU Brokerage Services Inc.
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By Michelle A. Samaad |
March 31, 2011
After weighing the evidence, a Financial Industry Regulatory Authority arbitration panel recently denied all claims against SECU Brokerage Services Inc. in an estate dispute.
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By Pat Huddleston, Investor's Watchdog LLC |
March 16, 2011
As investors recover from the economic meltdown of 2007 through 2009, they are anxious to find attractive investment returns.
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By Michelle A. Samaad |
February 23, 2011
The Financial Industry Regulatory Authority may have a hard time deciding whether a defunct credit union-owned brokerage firm
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By Michelle A. Samaad |
February 14, 2011
In a case involving an alleged failed real estate transaction through a defunct credit union broker-dealer, LPL Financial Corp., the company that acquired the firm, said it was dismissed from the claim.
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By Michelle A. Samaad |
February 10, 2011
On Feb. 21, a Financial Industry Regulatory Authority panel will hear the matter between SECU Brokerage, LPL Financial Corp. an investment adviser and a trust that claims its deceased client suffered losses after an alleged failed real estate investment.
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By Michelle A. Samaad |
February 9, 2011
The number of registered investment advisers has increased so dramatically since 2004, the SEC said it is overwhelmed, understaffed and out of resources to keep up with exams to monitor their activities.
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By Michelle A. Samaad |
January 26, 2011
Third-party brokerage arrangements for the sale of nondeposit investment products outlined in a recent NCUA guidance letter contain duties some federal credit unions may not have the ability to perform.
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By Michelle A. Samaad |
January 26, 2011
The $21 billion State Employees' Credit Union is in the middle of a legal quandary involving a widow who opened up a failed brokerage account with a defunct, credit union-formed broker-dealer and investment firm.
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By Michelle A. Samaad |
January 20, 2011
The SEC is asking Congress to give it more power to strengthen its investment adviser examination program including through assessing fees to fund exams, according to a new study from the commission.
