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Troubled brokerage can't blame Zoom for its FINRA woes, judge rules.

Authors :
Browning, Lynnley
Source :
Financial-planning.com; 9/9/2021, pN.PAG-N.PAG, 1p
Publication Year :
2021

Abstract

The Salt Lake City broker-dealer, under scrutiny by regulators over its exorbitant fees and seizure of client money, lost a court battle seeking to force regulator FINRA to deal with it in person. [ABSTRACT FROM AUTHOR]

Subjects

Subjects :
LEGAL judgments
STOCKBROKERS

Details

Language :
English
Database :
Complementary Index
Journal :
Financial-planning.com
Publication Type :
Periodical
Accession number :
152376947

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Authors Abstract Subjects Details