Bond Investors Get Warning From FINRA on Duration if Rates Should Rise
Finra warned investors that if the interest rates rise - as most pros expect - bond investors could be slammed [...]
FINRA Filings from Conservative Investors Who Were Sold Complex Products is on the Rise
Financial regulators are confronting investor frauds that are giving retirement savers steep losses on complex products that until a few [...]
Crystallex International Corporation (“CRYXF”)
Crystallex has commenced a proceeding under chapter 15 of the United States Bankruptcy Code in the United States Bankruptcy Court [...]
FINRA Backtracks on Plan to End 5% Markup Rule. Investors Check Your Order Tickets.
In a FINRA NTM 13-07 posted last Thursday on its website, FINRA asked for comment on an updated proposal that [...]
ATTENTION UBS BOND INVESTORS
Those investors who believed they had constructed a “conservative” portfolio by being heavily invested in bonds could be reclassified as [...]
Alison Janke, Port Richey, FL, Fined and Suspended by FINRA
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” Alison Marie Janke (CRD #4409155, [...]
Complaint Filed Against Florida Rep for Misappropriation of Funds Against Elderly
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” Kenneth Andrew Mauchin (CRD #2366345, [...]
Harrisburg, PA, Rep Barred by FINRA
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” David Scott Isolano (CRD #2504880, [...]
Did You Invest in Behringer Harvard REIT I?
Soreide Law Group, PLLC, is conducting an investigation into Behringer Harvard REIT I. Earlier this year, Behringer Harvard REIT I [...]
FINRA Statistics Regarding Disciplinary Actions
The following are statistics compiled by FINRA, the Financial Industry Regulatory Authority, posted recently to their website. The statistics show [...]
Boynton Beach, FL, Rep Barred by FINRA
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2012.” Ellen Joyce Erenstein (CRD #3244253, [...]
Roman Sledziejowki Defrauded Fellow Poles $4 mill
FINRA, the Financial Industry Regulatory Authority, alleges Roman Sledziejowski, the Polish president and owner of TWS Financial, LLC, in Brooklyn, [...]
UBS Willow Fund, LLC
Soreide Law Group is currently investigating potential claims for clients who lost money in UBS Willow Fund, LLC. The UBS [...]
Did You Invest in Bryn Mawr CLO Ltd., or LCM VII Ltd?
Soreide Law Group is currently investigating these collateralized loan obligations (CLOs): Bryn Mawr CLO II Ltd., and LCM VII Ltd(Lyon [...]
Tampa Broker Barred by FINRA
Michael John Hester (CRD #3044429, Registered Representative, Tampa, Florida) was barred from association with any FINRA member in any capacity. [...]
FINRA Paying Attention to Brokerage Conflicts Involving Complex Products
In a recent Reuters article, they write that FINRA, or The Financial Industry Regulatory Authority, is examining major brokerages regarding [...]
FINRA Wants Brokers Records More Accessible to Investors
The Financial Industry Regulatory Authority also known as FINRA, is hoping to make information about brokers more accessible to the [...]
FINRA Fines and Suspends Boca Raton Broker for “Borrowing” Money from Customers
Stephen Paul Tommelleo (CRD #1597585, Registered Principal, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which [...]
Lawsuit Alledges Harvey Kadden, a Top Broker at MSSB, is Churning Customer Accounts
Clifford Jagodzinski, formerly of Morgan Stanley Smith Barney LLC (MSSB), claims he was fired for blowing the whistle on one [...]
Weston, Florida, Broker Andrew Glen Rosenberg Fined and Suspended by FINRA
The following appeared on FINRA's website under, "“Disciplinary and Other FINRA Actions, September, 2012.” Andrew Glen Rosenberg (CRD #2944124, Registered [...]