The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Neal Seth Smalbach (CRD #1459854, Registered Principal, Palm Harbor, Florida)   submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity.   Without admitting or denying the allegations, Smalbach consented to the described […]

In an article from InvestmentNews.com, on July 25, 2011, Dan Jamieson writes that FINRA has warned investors about chasing yield with structured products, junk bonds and floating-rate bank-loan funds. The Financial Industry Regulatory Authority (FINRA) issued an investor alert about the risks found in these and other products. The alert was prompted by "significant recent inflows" […]