Month: January 2010
Michael Lewis Axel barred from FINRA for violations
FINRA recently announced that Michael Lewis Axel, formerly of Tripp & Co., Inc. in New York City , has been barred from association...
Risks of Investment syndicates
An investment syndicate is a temporary association of investors brought together for the purpose of pooling funds to invest in a larger...
Risks of Brokerage Firm Subordination Agreements
FINRA recently issued an Alert because of its concern that an increasing number of investors may be entering into financing arrangements...
Thailia Alisa Tucker barred from FINRA for securities fraud
FINRA recently announced that Thailia Alisa Tucker, a former financial advisor for Wachovia Securities, LLC in Miami , Florida , has been...
FINRA fines and suspends David Alan Tucker
FINRA recently announced that David Alan Tucker, a financial advisor for Brookstone Securities, Inc. in Port Orange, Florida, has been...
New Florida Bankruptcy Holding
The Law Offices of David A. Carter, P.A. recently prevailed in a bankruptcy case of first impression. The issue before the Court was...
