Broker Misconduct
Claims by investors against their stockbrokers and other investment advisors fall into four basic categories. The most common claims that we have seen are:
Stock Broker Fraud Blog - Broker Fraud
- Securities Class Action Against Morgan Stanley by Xerox and Kodak Retirees Dismissed by Appeals Court The U.S. Second Circuit Court of Appeals in New York has upheld a lower court’s ruling to dismiss that the securities class action filed by Eastman ....
- Citigroup to Pay $1.5 M for Supervisory Violations Related to Broker’s Handling of Trust Funds According to the Financial Industry Regulatory Authority, Citigroup Global Markets Inc. has consented to pay $1.5 million in disgorgement and fines ....
- Five Years Later Ex- Knight Securities Supervisors are Exonerated? Just Call it “Par for the Course.” The Financial Industry Regulatory Authority’s National Adjudicatory Council has dismissed the charges against former Knight Securities, L.P. CEO Ken ....