10.0David P Neuman
(720) 599-3505

MSC-BD, LLC Fined For Failure to Supervise

Tag Archives: equities

04
May

MSC-BD, LLC Fined For Failure to Supervise

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MSC-BD, LLC Fined For Failure to Supervise

MSC-BD Fined For Failure to Supervise   Our law firm is currently investigating allegations made against MSC-BD, a Lake Oswego, Oregon-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against MSC, alleging that it failed to adequately supervise a registered representative.   Specifically, FINRA alleged that the representative engaged in a ...

29
Apr

WARNING! Impending Investigation: WORLD EQUITY GROUP and EXCESSIVE TRADING

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WARNING!  Impending Investigation:  WORLD EQUITY GROUP and EXCESSIVE TRADING

World Equity Group, and Excessive Trading   We are currently investigating allegations made against World Equity Group, an Arlington Heights, Illinois-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against World Equity Group, making allegations that it failed to establish and maintain an adequate supervisory system regarding unsuitable excessive trading, ...

10.0David P Neuman

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