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Month: October 2012

Blog, Securities Fraud Articles

FINRA arbitration now open to RIAs

The Financial Industry Regulatory Authority Inc. recently announced that it has opened up its arbitration system to registered investment...

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Blog, Securities Fraud Articles

David Lerner Apple REIT Restitution

FINRA recently sanctioned David Lerner & Associates and required the firm to pay restitution to investors in Apple REIT Ten.  FINRA...

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Blog, Securities Fraud Articles

Spanish version of the FINRA Code of Arbitration

Over the years, many of our clients have been native Spanish speakers.  Fortunately, the FINRA Code of Arbitration which applies to...

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Blog, Securities Fraud Articles

Recovery of Giancarlo Ciocca Investment Losses

Have you suffered losses investing in leveraged or inverse ETFs recommended to you by former Merrill Lynch financial advisor Giancarlo...

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Blog, Securities Fraud Articles

FINRA fines David Lerner over Apple REIT sales.

The Financial Industry Regulatory Authority Inc. recently announced that it has ordered David Lerner & Associates to pay $12 million in...

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Blog, Securities Fraud Articles

Recovery of Sandridge Energy Investment Losses

Have you suffered losses investing in Sandridge Energy at the recommendation of a financial advisor?  If so, the securities attorneys of...

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