The Financial Industry Regulatory Authority (FINRA), and the SEC’s Office of Investor Education and Advocacy,have issued a new Investor Alert called Year-End Investment Considerations for Individual Investors. This new alert provides individual investors with a few suggestions for year-end investment planning as the year draws to a close. “The end of the year is a […]

The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.” Harrison A. Hatzis (CRD #2640978, Registered Principal, Hallandale, Florida)   was fined $30,000 and suspended from association with any FINRA member in any capacity for two years.   The NAC imposed the sanctions following appeal of an Office of Hearing […]