Month: August 2011
NFA fines Forex Capital Markets, LLC
National Futures Association (NFA) has issued a Decision imposing a $2,000,000 monetary sanction against Forex Capital Markets LLC (FXCM)...
Securities America to be bought by Ladenburg Thalmann Financial Services
According to the Investment News, Securities America, the independent broker-dealer subsidiary of Ameriprise, will be acquired by Ladenburg...
Recovery of Cawley Fund II Investment Losses
Have you suffered investment losses in the Cawley Fund II? The White Law Group may be able to help. The White Law Group is investigating...
Stifel Nicolaus investigated by SEC over risky investments, CDOs
According the Investment News, Stifel, Nicolaus & Co. and a former executive at the brokerage defrauded five eastern Wisconsin school...
Illinois Professional Licensing Attorney
Are you an Illinois professional with legal questions about licensing requirements? Do you need an attorney to defend you in an...
Citigroup fined by FINRA for failure to supervise a sales assistant
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $500,000 for...
