Month: October 2018
FINRA Fines LPL Financial $2.75 Million
FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures According to the Financial Industry Regulatory Authority...
Bruce Plyer Barred from Securities Industry
Bruce Plyer – Morgan Stanley – Florham Park, New Jersey According to the Financial Industry Regulatory Authority (FINRA), the regulator...
Wheeler Real Estate Investment Trust Investigation
Investigating Potential Claims involving Wheeler Real Estate Investment Trust Are you concerned about your investment in Wheeler Real...
James River Coal Inc. – Securities Investigation
Investor Alert – James River Coal Inc. Are you concerned about your investment in James River Coal Inc.? If so, the securities...
UBS Faces Lawsuit over Failure to Supervise Former Broker, Alex G. Herrera
Alex G. Herrera – UBS Financial – Coral Gables, FL According to a press release, UBS Financial Services is facing a claim that it...
William Hightower Indicted on 13 Counts of Fraud & Money Laundering
William Hightower – Hightower Capital Group – Investigation According to a press announcement on October 11, 2018, former financial...
