Tag: South Florida
ELKS Structured Products for Retail Investors
The White Law Group is investigating the appropriateness of structured product investments sold by various broker-dealers (including...
Investigation of UBS financial advisor Eduardo Sordo
We are investigating a possible securities fraud claim on behalf of an investor involving investment recommendations made by former UBS...
Risks of Investment syndicates
An investment syndicate is a temporary association of investors brought together for the purpose of pooling funds to invest in a larger...
Thailia Alisa Tucker barred from FINRA for securities fraud
FINRA recently announced that Thailia Alisa Tucker, a former financial advisor for Wachovia Securities, LLC in Miami , Florida , has been...
Lorraine Leonie Macko fined and suspended
FINRA recently announced that Lorraine Leonie Macko (formerly of RBC Capital Markets Corporation in Miami , Florida ) has been fined $6,000...
Broad Street Securities, Inc. fined and censured by FINRA
FINRA recently announced that Broad Street Securities, Inc. (a FINRA registered broker-dealer based in Plantation, Florida) has been...