Broker Suspended by FINRA for Marking Solicited Trades as Unsolicited

Stockbroker Law - Thursday, October 25, 2012
Broker Suspended by FINRA for Marking Solicited Trades as Unsolicited

In a recent decision of the FINRA Regulatory Authority (FINRA), Andrey V. Tkatchenko (http://disciplinaryactions.finra.org/viewdocument.aspx?DocNB ..

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MetLife, Prudential, John Hancock, Manulife Financial, Verus Financial, LLC Agree to Forty Million Dollar Settlement Relating to Unclaimed Death Benefits

Stockbroker Law - Friday, October 05, 2012
MetLife, Prudential, John Hancock, Manulife Financial, Verus Financial, LLC Agree to Forty Million Dollar Settlement Relating to Unclaimed Death Benefits

Metropolitan Life Insurance Company agreed to pay forty million dollars to settle a multi-state probe of its alleged mishandling of insurance poli ..

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MetLife, Prudential, John Hancock, Manulife Financial, Verus Financial, LLC Agree to Forty Million Dollar Settlement Relating to Unclaimed Death Benefits

Stockbroker Law - Friday, October 05, 2012
MetLife, Prudential, John Hancock, Manulife Financial, Verus Financial, LLC Agree to Forty Million Dollar Settlement Relating to Unclaimed Death Benefits

Metropolitan Life Insurance Company agreed to pay forty million dollars to settle a multi-state probe of its alleged mishandling of insurance poli ..

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FINRA Broker/Check Offers Small Investors an Opportunity to Investigate their Brokers

Stockbroker Law - Friday, October 05, 2012
FINRA Broker/Check Offers Small Investors an Opportunity to Investigate their Brokers

The Financial Industry Regulatory Authority (FINRA), the self-regulatory entity responsible for the administration of examinations for stockbroker ..

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