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Month: March 2014

Blog, Securities Fraud Articles

March 24, 2014

LPL Financial Pays $950,000 to FINRA

According to reports, the Financial Industry Regulatory Authority (FINRA) recently fined LPL Financial $950,000 for failure to adequately...

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Blog, Securities Fraud Articles

March 21, 2014

Inland American REIT Tender Offer

According to InvestmentNews, Inland American REIT commenced an offer on March 14, 2014 to buy back a small number of shares.  Investors in...

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Blog, Securities Fraud Articles

March 21, 2014

Florida Investment Adviser Peter Bruno Suspended

According to the the South Florida Business Journal, the Financial Industry Regulatory Industry (FINRA) has suspended former Wall street...

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Blog, Securities Fraud Articles

March 21, 2014

FINRA Bars Florida Broker

According to South Florida Business Journal, former Liberty Partners Financial Services broker, Ariel Luis Hernandez, has been permanently...

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Blog, Securities Fraud Articles

March 21, 2014

Miami Broker Barred From Industry

According to the South Florida Business Journal, the Financial Industry Regulatory Authority (FINRA) permanently barred former Miami...

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Blog, Securities Fraud Articles

March 20, 2014

Investigation: Securities America’s Sale of Non-Traded REITs

According to InvestmentNews, Securities America Inc. is under investigation by the Pennsylvania Department of Banking and Securities for...

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