Month: October 2012
FINRA Alert regarding Non-traded REITs
Although a little late to the party, FINRA recently issued an alert for things to be mindful of before investing in non-traded REITs. We...
Recovery of Investment Losses suffered in a Private Annuity Trust
Have you suffered losses investing in a Private Annuity Trust recommended to you by your financial advisor? If so, the securities...
Guggenheim Securities fined by FINRA over CDO trading activity.
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Guggenheim Securities, LLC of New York $800,000...
South Florida Broker Accused of Stealing from Investors
According to news reports of documents filed August 31 in federal court, William T. Johnson of Palm Beach Gardens has been accused of...
Michigan financial advisor implicated in fraudulent scheme.
According to reports, a Michigan financial advisor named Dante DeMiro has pleased guilty to three counts of bank fraud and two counts of...