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– Stock Broker Fraud Blog :: Published by Houston Securities Fraud Lawyers Shepherd Smith Edwards & Kantas
LPL Financial Places Independent Reps Under Supervision 21 Aug 2013 | 06:26 am
LPL Financial Inc. (LPLA) is no longer allowing independent representatives to supervise themselves and will impose a fee increase on some 2,200 one-person shops. These changes are among the firm’s st...
AIG Shuts Down Customers’ Bank Accounts in the Wake of Dodd-Frank Limits 20 Aug 2013 | 06:11 am
American International Group (AIG) will give its banking unit back their money and close out their accounts. The move is because the Dodd-Frank Wall Street Reform and Consumer Protection Act has impos...