by Bonnie Spencer | May 10, 2022 | FINRA, Investors, Securities
Have you had a wonderful idea but no money to get it launched? Did you accept money from a relative or friend and lived to regret it? There is no need for any “contract” because this is between people who trust one another, right? No! It is not right and the reason...
by Ashley Spencer | Nov 4, 2019 | FINRA
Brokers-to-be who are looking to break into day trading may want to be a little more inconspicuous if they cheat on tests, or not cheat at all. The Financial Industry Regulatory Authority claims Andrew Yoro cheated on the Series 7 examination by “consulting study...
by Ashley Spencer | Oct 14, 2019 | Arbitration, FINRA, Mediation
If you invest money in America and work with a broker or a firm, there’s a good chance you may have heard of FINRA. The Financial Industry Regulatory Authority defines itself as a “not-for-profit organization that – working under the supervision of the SEC –...
