March, 2016
Archive

March 30, 2016

UBS Ordered to Pay $470,000 to Puerto Rico Bond Investors

According to Investment News, the Financial Industry Regulatory Authority (FINRA)

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March 30, 2016

Investor Alert: Comstock Resources, Inc.

Have you suffered losses in Comstock Resources? If so, the securities attorneys of

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March 25, 2016

Investor Alert: Emerald Oil, Inc. Files Chapter 11 Bankruptcy Protection

Have you suffered losses in Emerald Oil, Inc.? If so, the securities attorneys of

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March 24, 2016

Ronald W. Nichter Guilty of Fraud

A former Indianapolis broker, Ronald W. Nichter, has reportedly been sentenced for

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March 24, 2016

Levi D. Lindemann Pleads Guilty

Former broker, Levi D Lindemann, appears to have found himself in hot water with the

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March 24, 2016

LEAF Equipment Leasing Income Fund III Termination

Have you suffered losses due to your investment in the LEAF Equipment Leasing Income

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March 23, 2016

Investigation into BDCs

In a time of record low interest rates, investors have sought for yield in

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March 23, 2016

Michael Bruce Winegar barred from securities industry.

According to FINRA’s March 2016 Disciplinary Report, Michael Bruce Winegar

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Kevin D. Wanner March 23, 2016

Kevin Donald Wanner barred from securities industry.

FINRA bars Kevin D. Wanner after Termination According to the Financial Industry

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March 23, 2016

Richard A. McGuire barred from securities industry.

According to FINRA’s March 2016 Disciplinary Report, Richard A. McGuire (CRD

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