Arbitration Claims Against Oppenheimer

Wolper Law Firm, P.A. Files Multiple FINRA Arbitration Claims Against Oppenheimer Lawsuits target Horizon Private Equity…

Tennessee: Joshua McDonald Sentenced for Wire Fraud

Judge sentences Tennessee man, Joshua McDonald to 27 months for wire fraud in investment fraud scheme…

FINRA Bars Research Analyst Brian Maguire for Insider Trading

WASHINGTON, DC (STL.News) The Financial Industry Regulatory Authority (FINRA) announced today that it had barred former…

FINRA News: Statement Regarding SEC Chairman Jay Clayton

(STL.News) Throughout his tenure as Chairman of the SEC, Jay Clayton has been a strong advocate…

FINRA Executive Vice President Michael Rufino Announces Departure

WASHINGTON, DC (STL.News) FINRA announced today that Michael Rufino will leave the organization at the end…

Report From FINRA Board of Governors Meeting – September 2020

Board Approves Two Rulemaking Items, Meets With External Stakeholders WASHINGTON, DC (STL.News) FINRA’s Board of Governors…