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Month: December 2011

Blog, Securities Fraud Articles

FINRA Fines Credit Suisse Securities for SHO Violations

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Credit Suisse Securities (USA) LLC $1.75 million...

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Blog, Securities Fraud Articles

FINRA Fines Barclays Capital for Misrepresentations

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Barclays Capital Inc. $3 million for...

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Blog, Securities Fraud Articles

Variable annuity sales at independent broker-dealers

The Investment News just released data on the variable annuity sales at independent broker-dealers.  As you can see from the chart...

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Blog, Securities Fraud Articles

SEC Files Action Against former FTN Financial employee

On December 15, 2011, the Securities and Exchange Commission filed a civil injunctive action against Stephen M. Folan, a former registered...

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Blog, Securities Fraud Articles

Martin T. Wegener Investment Losses

Have you suffered losses due to your investment with Martin T. Wegener (Marty Wegener) and/or his entities Wealth Resources, Inc. and...

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Blog, Securities Fraud Articles

Potential Recovery of Brian A. Bjork Investment Losses

Have you suffered losses due to your investment with Brian A. Bjork, Select Asset Management and/or his late business partner David Salinas...

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