Month: October 2009
CP Capital Securities, Inc. fined for securities violations.
FINRA recently announced that CP Capital Securities, Inc., a registered broker-dealer based in Miami, Florida, has been fined $21,500 for...
Bear Stearns & Co., Inc. (n/k/a J.P. Morgan Securities, Inc.) fined and censured by FINRA for securities violations
FINRA recently announced that Bear Stearns & Co., Inc. (n/k/a J.P. Morgan Securities, Inc.) has been fined $500,000 and censured for...
Securities Fraud Risks of Reverse Mortgages
As first reported recently in the Orlando Sentinel, a boom in the reverse-mortgage business has become a magnet for the same profit-driven...
FINRA to Expand Program Evaluating All-Public Arbitration Panels
The Financial Industry Regulatory Authority (FINRA) recently announced the expansion of its two-year pilot program that gives investors who...
Important securities and FINRA (NASD) Links
FINRA BrokerCheck/CRD (FINRA’s brokercheck allows anyone to check the registration and regulatory history of a financial advisor, as well...
Frank Dipascali, Jr. Barred by the SEC
On October 5, 2009 the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities...
