October, 2012
Archive

October 31, 2012

FINRA arbitration now open to Registered Investment Advisors (RIAs)

The Financial Industry Regulatory Authority Inc. recently announced that it has

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October 30, 2012

David Lerner Apple REIT Restitution

FINRA recently sanctioned David Lerner & Associates and required the firm to pay

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October 29, 2012

Important Portions of the Spanish version of the FINRA Code...

Over the years, many of our clients have been native Spanish speakers. 

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October 24, 2012

Recovery of Giancarlo Ciocca Investment Losses

Have you suffered losses investing in leveraged or inverse ETFs recommended to you

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October 22, 2012

FINRA fines David Lerner over Apple REIT sales.

The Financial Industry Regulatory Authority Inc. recently announced that it has

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October 22, 2012

Recovery of Sandridge Energy Investment Losses

Have you suffered losses investing in Sandridge Energy at the recommendation of a

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October 22, 2012

FINRA Alert regarding Non-traded REITs

Although a little late to the party, FINRA recently issued an alert for things to be

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October 19, 2012

FINRA expels New York based broker dealer.

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

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October 18, 2012

Recovery of Investment Losses suffered in a Private Annuity Trust

Have you suffered losses investing in a Private Annuity Trust recommended to you by

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October 17, 2012

Guggenheim Securities fined by FINRA over CDO trading activity.

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

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