March, 2014
Archive

March 21, 2014

Miami Broker Barred From Industry

According to the South Florida Business Journal, the Financial Industry Regulatory

Read article

March 20, 2014

Pennsylvania Regulators Investigate Securities America’s Sale of Non-Traded REITs

According to InvestmentNews, Securities America Inc. is under investigation by the

Read article

March 20, 2014

FINRA Awards suggest that variable annuities remain a problem in...

Based on recent awards, it appears that variable annuities continue to be a problem

Read article

March 19, 2014

AXA Fined $25 million For Variable Annuity Changes

According to Financial Advisors Magazine, the New York Department of Financial

Read article

March 18, 2014

Jefferies LLC Pays $25 Million Penalty

According to the U.S. Attorney’s Office of the District of Connecticut, New

Read article

March 18, 2014

FINRA Awards suggest REITs remain problem in securities industry.

Based on recent awards, it appears that REITs continue to be a problem in the

Read article

March 17, 2014

Two Brokers Charged in Variable Annuities Scam

According to Reuters, the Securities and Exchange Commission has filed charges

Read article

March 14, 2014

SEC Sanctions Western Asset Management $21 Million

According to the Securities and Exchange Commission (SEC), Western Asset Management

Read article

March 13, 2014

Tennessee Financial Planner Arrested for Fraud

According to WSMV Channel 4, a financial planner for Capital Financial Group, Tony

Read article

March 13, 2014

Investigation into Telesis Oil and Gas Investment Losses

The White Law Group is investigating the liability that brokerage firms may have for

Read article