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Month: October 2012

Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

FINRA expels New York based broker dealer.

The Financial Industry Regulatory Authority (FINRA) recently announced that it has expelled EKN Financial Services, Inc. of Melville, NY,...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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