Month: July 2009
New Listing of our Securities Blog
Blog Listings...
Martin Dennis Ross suspended from FINRA.
In May 2009, FINRA Enforcement announced that Martin Dennis Ross had been named as a Respondent in a FINRA securities fraud complaint...
Michael Ross Berkoff suspended from FINRA
In May 2009, FINRA Enforcement announced that Michael Ross Berkoff had been suspended from FINRA for a period of 30 business days and fined...
Risks in investing in bankruptcy companies like General Motors
The SEC and FINRA have issued warnings out of concern that the investing public may not realize stock in the “old” General...
Maria Anne Harding, formerly of Wachovia Securities, LLC in Fort Myers, suspended from FINRA
Maria Anne Harding, registered as a financial advisor with Wachovia Securities LLC from May 2007 through July 2009, has been suspended from...
Steven Effron suspended from FINRA
Steven Effron, registered as a financial advisor with Summit Brokerage Services, Inc. from July 2007 through March 2009, has been suspended...
