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Month: October 2016

Blog

REITs: Impact of Interest Rate Hike

According to a new Investment News report, Real Estate Investment Trusts (REITs) are losing steam recently amid fresh concerns of a...

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Current Investigations

Jeffrey H. Howell Barred from Securities Industry

According to FINRA, Jeffrey H. Howell (CRD# 4561368, Chesterfield, MO) submitted an AWC in which he was barred from association with any...

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Current Investigations

Robert P. Lappin Suspended from Securities Industry

Investment Losses with Robert Lappin? According to FINRA, Robert Lappin (CRD# 1570836, Tempe, Arizona) allegedly consented to the...

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Blog

FINRA: Banner Year in Fines

The Financial Industry Regulatory Authority (FINRA) is on its way to posting a record year in terms of the amount of fines that it has...

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