FINRA recently announced that Harold Sheldon Minsky, a financial advisor with J.H. Darbie & Co., Inc., has been fined $10,000 and suspended from association with any FINRA member in any capacity for 30 days (the suspension was effective from April 19, 2010 through May 18, 2010). Without admitting or denying the findings, Minsky consented to [...]
The White Law Group is investigating securities fraud claims on behalf of investors involving recommendations made by broker-dealers like Securities America, Peak Securities, and Cedar Brook Financial Partners (among others) to invest in Medical Capital. Medical Capital was set up to purchase accounts receivables of medical providers and package them as private investments. The firm [...]
FINRA recently announced that Jamik Jamar Ligon, formerly of Merrill Lynch, Pierce, Fenner & Smith, Incorporated in Jersey City, New Jersey, and Rocco Anthony Mongelli, of Peak Securities Corporation in Largo, Florida, were fined and suspended by FINRA. Ligon was fined $7,500 and suspended from association with any FINRA member in any capacity for two [...]