FINRA Fines Broker $1.8mill in Sale of ETFs
Nicholas Rowe and his firm, Focus Capital Wealth Management, Inc. of Bedford, New Hampshire, were found liable in a case [...]
Nicholas Rowe and his firm, Focus Capital Wealth Management, Inc. of Bedford, New Hampshire, were found liable in a case [...]
Last week LPL Financial Holdings agreed to pay $2.5 million in fines and restitution for improperly supervising brokers who sold [...]
In an article, Feb. 7, 2013, in the New York Post, it was reported that (broker-dealer owner), Anastasios “Tommy” Belesis' [...]
Those investors who believed they had constructed a “conservative” portfolio by being heavily invested in bonds could be reclassified as [...]
The Financial Industry Regulatory Authority Inc., also known as FINRA, is proposing to tighten its definition of “public” arbitrator. FINRA [...]
Reverse convertibles, are often called "trigger notes," "phoenixes," or "auto-callables." These structured products promised high yields of 6% to 12% [...]
Soreide Law Group is currently investigation the UBS Willow Fund. This distressed debt hedge fund was formed in 2000. In [...]
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” William Earl Manley (CRD #1177744, [...]
Soeide Law Group is currently investigating broker, Bambi I. Holzer, CRD #1088028. Ms. Holzer is currently a registered representative with [...]
FINRA, the Financial Industry Regulatory Authority levied a total of $68 million in civil fines during 2012, according to statistics [...]
Soreide Law Group is currently investigating the Wells Timberland REIT for the investors who suffered financial losses. FINRA, the Financial [...]
In an effort to protect investors over the sale of private placements, the new Financial Industry Regulatory Authority (FINRA), Rule [...]
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2012.” Shari Robin Frimer (CRD #2503895, [...]
The following are statistics compiled by FINRA, the Financial Industry Regulatory Authority, posted recently to their website. The statistics show [...]
FINRA, the Financial Industry Regulatory Authority, alleges Roman Sledziejowski, the Polish president and owner of TWS Financial, LLC, in Brooklyn, [...]
FINRA, the Financial Industry Regulatory Authority, plan to warn parties in its arbitration hearings against using electronic devices to secretly [...]
In a recent Reuters article, they write that FINRA, or The Financial Industry Regulatory Authority, is examining major brokerages regarding [...]
Broker-dealers' falling short in due diligence when selling complex, illiquid products has been a focus of FINRA examinations and fines [...]
FINRA Case Number 11-01278, awards $158,250.00 to the defrauded Claimants for the alleged supervisory failures of Harvest Capital, LLC, of [...]
The Financial Industry Regulatory Authority also known as FINRA, is hoping to make information about brokers more accessible to the [...]