Month: February 2011
Risks of Non-rated Municipal Bonds
According to the Investment News, four firms are managing high-yield municipal bond funds with more than 40% of their assets invested in...
Las Vegas Review-Journal: Investigation…
Two years on and a bit more, attorneys like Daxton White are still filing suit or doing FINRA (Financial Industry Regulatory Authority) mediation and arbitration hearings for clients who were bilked, defrauded, led down the garden path and otherwise separated from their money by unscrupulous and indeed sometimes criminal brokers and investment companies…
Ensemble Financial Services to close.
According to the Investment News, yet another independent broker-dealer is closing shop, this time due to the burden of compliance and...
Another FINRA Private Placement Investigation
According to the Investment News, National Securities Corp. is the latest broker-dealer to face disciplinary action from Finra over the...