Archive for the ‘FINRA’ Category

A FINRA securities arbitration panel has ordered the Number Three US brokerage firm Wells Fargo Advisors and Wachovia Securities to pay nearly $7 million to a whistleblower who claims he was terminated in retaliation for cooperating with FINRA.  FINRA is the shorthand for the Financial Industry Regulatory Authority, a non-profit regulatory agency paid for and [...]

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