Staff AttorneyNov 22, 20172 minCoastal Equities Censured and Fined for Non-Traditional ETF SupervisionThe Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Coastal Equities, Inc. (“Coastal Equities”)....
Staff AttorneyNov 17, 20172 minJames Flower Suspended for Unsuitable VIX Short Term Futures RecommendationsFinancial advisor, James William Flower (Flower), recently faced a department of enforcement action in connection with his recommendation...
