According to InvestmentNews, the panel’s award included about $5.375 million in compensatory damages plus $125,000 in costs.

Kyle Blackmon had been seeking nearly $20 million for alleged negligence and mismanagement of his employee stock options.

Contact the Law Firm of KlaymanToskes for a Free and Confidential Consultation to Discuss Potential Recovery of Your ...

A research analyst is a professional who prepares investigative reports on securities or assets for in-house or client use.

Compass luxury broker Kyle Blackmon claimed UBS mismanaged his unexercised stock options from the brokerage’s IPO.

Everyone wants to know what tomorrow will bring, and FINRA has proposed amendments to Rule 2210 (Proposed Amendments) that ...

Compass priced its IPO at $18 a share in April 2021. The stock declined sharply in the months that followed and later fell to about $2 in 2023 before recovering above $10.

Jacqueleen and Kristina each bring valuable experience, dedication, and heart to our team.”— Lizzie Dipp Metzger EL ...

Millions of dollars in Financial Industry Regulatory Authority (FINRA) enforcement penalties are often returned to investors harmed by past broker misconduct yet many of those eligible for a cut might ...

Finra wants to give brokerage firms more authority to pause suspicious transactions before investor money disappears. The industry self-regulator last week asked for public comment on a package of ...

The Financial Industry Regulatory Authority's board of governors is moving forward with a proposal that would allow firms to make email and other forms of electronic delivery their default means of ...

FINRA’s rules are intended to be technologically neutral. They apply when companies use GenAI or similar technologies in their businesses, just as they apply when companies use any other technology or ...