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Month: September 2009

Blog, Securities Fraud Articles

Robyn Lynn O’Hara barred from FINRA

FINRA recently announced that Robyn Lynn O’Hara, formerly of WFG Investments, Inc. in Snellville, George, has been barred from FINRA for...

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Blog, Securities Fraud Articles

Jamik Jamar Ligon fined and suspended by FINRA

FINRA recently announced that Jamik Jamar Ligon, formerly of Merrill Lynch, Pierce, Fenner & Smith, Incorporated in Jersey City, New...

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Blog, Securities Fraud Articles

Risks of Investing in Reverse Convertible Securities (Notes)

A reverse convertible security or reverse convertible note is a short-term note linked to an underlying stock. The security offers steady...

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Blog, Securities Fraud Articles

FINRA Fines Citigroup, UBS and Deutsche Bank $425,000

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, UBS Securities and...

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Blog, Securities Fraud Articles

Francine Ann Lanaia, of Alexander Capital suspended by FINRA

FINRA recently announced that Francine Ann Lanaia, of Alexander Capital, L.P. in Fort Salanga, New York, has been fined $5,000 and...

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Blog, Securities Fraud Articles

William J. Gray barred from FINRA for securities violations.

FINRA recently announced that William J. Gray, formerly of AXA Advisors, LLC in Woodbridge, New Jersey , has been barred from association...

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