July, 2013
Archive

July 15, 2013

Potential Recovery of Taurus Global Resource Fund Investment Losses

The White Law Group is investigating the sale of Taurus Global Resource Fund by

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July 15, 2013

Thomas Weisel Partners, LLC fined by FINRA

Thomas Weisel Partners, LLC (CRD #46237, San Francisco, California) was fined

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July 15, 2013

Securities America, Inc. fined by FINRA

Securities America, Inc. (CRD #10205, La Vista, Nebraska) submitted a Letter of

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July 15, 2013

Deutsche Bank Securities Inc. fined by FINRA

Deutsche Bank Securities Inc. (CRD #2525, New York, New York) submitted a Letter of

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July 15, 2013

Ameriprise Financial Services Fined

Amerprise Financial Services, Inc. (CRD #6363, Minneapolis, Minnesota) submitted as

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July 15, 2013

M.D. Sass Securities, L.L.C. fined by FINRA

M.D. Sass Securities, L.L.C. (139760, New York, New York) submitted a Letter of

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July 15, 2013

J.P. Morgan Securities LLC fined by FINRA

J.P. Morgan Securities LLC (CRD #79, New York, New York) submitted a Letter of

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July 15, 2013

Boenning & Scattergood, Inc. fined by FINRA

Boenning & Scattergood, Inc. (CRD #100, West Conshohocken, Pennsylvania)

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July 15, 2013

BNP Paribas Prime Brokerage, Inc. fined by FINRA

BNP Paribas Prime Brokerage, Inc. (CRD #24962, New York, New York) submitted a

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July 15, 2013

Recovery of Northstar Real Estate Income Trust Investment Losses

According to a recent Investment News report, real estate investment trusts that buy

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