September, 2012
Archive

September 30, 2012

It is being reported that the U.S. Securities and Exchange Commission (the SEC)

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September 26, 2012

Merrill Lynch sanctioned by FINRA over Brokercheck disclosures.

The Financial Industry Regulatory Authority (FINRA) recently announced that it has

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September 26, 2012

Class action lawsuit filed against Behringer Harvard REIT I

According to reports, Behringer Harvard REIT I, which has $4.4 billion in assets,

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September 21, 2012

SEC Suspends Trading in the Securities of 16 Companies in...

The Securities and Exchange Commission recently announced the temporary suspension,

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September 20, 2012

Recovery of Winex Investments, LLC foreign currency losses

Have you suffered investment losses in Winex Investments, LLC, a foreign currency

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September 19, 2012

SEC charges Advanced Equities with misrepresenting two private equity offerings.

The Securities and Exchange Commission recently charged the co-founder of a

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September 14, 2012

SEC Charges Connecticut Financial Advisor with Stealing

The Securities and Exchange Commission recently charged Stephen B. Blankenship, a

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September 12, 2012

ProShares Class Action Lawsuit Dismissed

It is being reported that a class action lawsuit over leveraged and inverse

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September 11, 2012

SEC accuses 3 former JP Turner Brokers of Churning

According to reports, three former JP Turner & Company brokers have been accused

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September 10, 2012

SEC accuses Western Financial Planning of investment scam

According to reports, the Securities and Exchange Commission has accused a San

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