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28 Jun 2022, 7:00 am
The case, filed in a federal district court in California, seeks permanent injunctions, disgorgement with prejudgment interest and civil penalties against broker-dealer Western International Securities Inc. and five of its registered representatives. [read post]
13 Nov 2009, 11:26 am
The article quotes Carrie Wisniewski, president of B/D Compliance Associates Inc., which provides consulting services to broker-dealers and investment advisers, as saying: “Unregistered offerings can blow up on a firm fast. [read post]
1 Sep 2020, 11:00 am
Shareholders may have Claims CIM announces Merger Plans for 4 Cole REITs The White Law Group continues to investigate potential FINRA arbitration claims involving broker dealers who may have unsuitably recommended non-traded REITs such as CIM Real Estate Finance Trust Inc. to investors. [read post]
8 Aug 2023, 9:31 am
The Securities and Exchange Commission has charged 11 firms in their capacity as broker-dealers and one dually registered broker-dealer and investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. [read post]
7 Dec 2023, 2:06 pm
Broker-dealers are reluctant to approve these kinds of transactions because they do not want to be responsible for lost client monies. [read post]
3 Jun 2011, 3:18 pm
On Tuesday, May 31, 2011, FINRA filed a complaint against David Lerner Associates Inc., and charged the broker-dealer for selling investors unsuitable securities products that carried high commissions. [read post]
20 Jul 2021, 8:13 am
The Financial Industry Regulatory Authority (FINRA) has censured and fined Wilson-Davis, a self-clearing broker-dealer that specializes in microcap liquidation and trading, according to a letter of acceptance waiver and consent on July 16. [read post]
17 Mar 2021, 9:51 am
” Cambridge Investment Research Inc. [read post]
17 Nov 2017, 7:27 am
Broker dealers are required to perform adequate due diligence on any investment they recommend. [read post]
31 Aug 2009, 9:04 pm
The broker-dealer defendants appealed. [read post]
23 Nov 2011, 6:32 am
According to a public release, FINRA has fined Wells Investment Securities, who is “the dealer-manager and wholesaler for the public offering of Wells Timberland REIT,” “$300,000 for using misleading marketing materials in the sale of Wells Timberland REIT, Inc., a non-traded Real Estate Investment Trust (REIT). [read post]
3 Jan 2014, 8:44 am
Broker-dealer Saxony Securities, Inc. [read post]
29 Aug 2023, 12:32 pm
Hilltop Holdings, Inc. completed its acquisition of SWS Group, Inc. in 2015. [read post]
1 Aug 2014, 11:00 am
’” In Citigroup Global Markets Inc. v. [read post]
27 Mar 2013, 10:18 am
Plaintiffs in Levitt are former customers of a defunct New York broker-dealer, Sterling Foster & Company, Inc. [read post]
18 Dec 2018, 9:57 am
Retail investors commonly are solicited by financial advisors or stockbrokers to invest in non-traded REITs like SRT, which typically are sold by independent broker-dealer firms. [read post]
1 Sep 2023, 6:44 am
While the SEC’s press release calls Saw a “former registered representative at a New York broker-dealer,” FINRA’s BrokerCheck still shows her as currently registered. [read post]
2 Nov 2012, 7:24 am
Since the market collapse in 2008, FINRA’s exams and fines have focused on independent broker-dealers’ failures in due diligence when they sell complex, illiquid products. [read post]
14 Sep 2010, 12:48 pm
District Court for the Southern District of New York entered final judgments approving settlements between the Commission and the defendants in the pending case against FTC Capital Markets, Inc. [read post]
6 Apr 2018, 8:40 am
Broker dealers are required to inform clients of the risks associated with investment recommendations. [read post]
