Month: August 2017
FINRA Fines Morgan Stanley $500,000 for Supervisory Lapses
Morgan Stanley Censured & Fined According to FINRA, Morgan Stanley has agreed to pay $500,000 to the Financial Industry Regulatory...
Cetera Broker-dealers to pay $3.3 million in Restitution
Cetera Financial Group Settles with FINRA According to reports, five Cetera Financial Group broker-dealers reached settlements with the...
ARC New York City REIT Responds to Dissenting Investors
Company Dismisses Claims of Dissident Investor Cover Partners III ARC New York City REIT is a non-traded real estate investment trust...
Investment News: Client wins $433,000 through FINRA arbitration claim..
Growing problem: Unpaid Arbitration Awards According to an article in Investment News, unpaid arbitration awards are a growing problem. The...
Anthony Diaz Permanently Barred from Securities Industry
Scotrun, PA ex-broker barred by FINRA, NJ Bureau of Securities and PA Bureau of Securities According to FINRA, Anthony Diaz (Scotrun, PA...
Wall Street V. Main Street Podcast – Episode 12
Choosing a Financial Advisor In this episode, Mr. White discusses how to choose a financial advisor. If you have questions about your...
