Miami Firm Fined over $1 Million for Excessive Markups and Markdowns
The Financial Industry Regulatory Authority (FINRA) has fined StateTrust Investments Inc., Miami, FL, over $1 million and firm’s broker, Jose [...]
The Financial Industry Regulatory Authority (FINRA) has fined StateTrust Investments Inc., Miami, FL, over $1 million and firm’s broker, Jose [...]
This information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Michael Antonio Zurita (CRD #1659844, [...]
The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Ronald Wayne Lankford (CRD #1751588, [...]
The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” vFinance Investments, Inc. (CRD #44962, [...]
Finra warned investors that if the interest rates rise - as most pros expect - bond investors could be slammed [...]
Securities Lawyer, Lars Soreide of Soreide Law Group, PLLC, recently announced that he is investigating claims against Linsco Private Ledger [...]
Nicholas Rowe and his firm, Focus Capital Wealth Management, Inc. of Bedford, New Hampshire, were found liable in a case [...]
Recently, a New York City man working as a broker/dealer in Stamford, Connecticut, has been charged with securities fraud, according [...]
Last week LPL Financial Holdings agreed to pay $2.5 million in fines and restitution for improperly supervising brokers who sold [...]
In an article in the Wall Street Journal, Feb. 11, 2013, Matthew Heimer writes that ever since the Federal Reserve [...]
Financial regulators are confronting investor frauds that are giving retirement savers steep losses on complex products that until a few [...]
Crystallex has commenced a proceeding under chapter 15 of the United States Bankruptcy Code in the United States Bankruptcy Court [...]
In an article, Feb. 7, 2013, in the New York Post, it was reported that (broker-dealer owner), Anastasios “Tommy” Belesis' [...]
On Feb. 6th., 2013, LPL Financial, LLC, was ordered by Massachusetts Security Division to pay restitution of more than $2 [...]
In a FINRA NTM 13-07 posted last Thursday on its website, FINRA asked for comment on an updated proposal that [...]
Those investors who believed they had constructed a “conservative” portfolio by being heavily invested in bonds could be reclassified as [...]
There are many real estate investors attracted to Tenant-In-Common (TICs) for the purported tax savings through the like kind exchange [...]
Tenant in Common (TIC) investments, or 1031 exchanges, are a form of real estate ownership in which multiple investors own [...]
With the stock market crash of 2008-2009 there has been an onslaught of investors filing lawsuits against their stock brokers [...]
Reverse convertibles, are often called "trigger notes," "phoenixes," or "auto-callables." These structured products promised high yields of 6% to 12% [...]