Month: January 2012
David Lerner in more trouble over Apple REITs
It is being reported that FINRA recently filed an enforcement complaint against David Lerner individually for allegedly misleading...
Hantz Financial Services, Inc. fined by FINRA
Hantz Financial Services, Inc. (CRD #46047, Southfield, Michigan) recently submitted a Letter of Acceptance, Waiver and Consent in which...
Valmark Securities, Inc. fined by FINRA
Valmark Securities, Inc. (CRD #31243, Akron, Ohio) recently submitted an Offer of Settlement in which the firm was censured and ordered to...
Wilson-Davis & Co., Inc. fined by FINRA
Wilson-Davis & Co., Inc. (CRD #3777, Salt Lake City, Utah) recently submitted an Offer of Settlement in which the firm was censured,...
Capital Financial Services sanctioned by FINRA
Capital Financial Services, Inc. (CRD #8408, Minot, North Dakota) recently submitted a Letter of Acceptance, Waiver and Consent in which...
FINRA Fines Woodbury Financial Services, Inc.
Woodbury Financial Services, Inc. (CRD #421, Oak Dale, Minnesota) recently submitted a Letter of Acceptance, Waiver and Consent in which...
