Month: December 2018
Cole Office & Industrial REIT Investigation
Cole Office & Industrial REIT (CCIT II) New Lower Price, Update May 20, 2019 According to SEC filings on November 18, 2018, CMG...
David Fagenson Ex-UBS Broker Reportedly Suspended
David Fagenson Accused by FINRA of Churning Client Accounts According to the Financial Industry Regulatory Authority (FINRA), the...
Mitchell Kurtz Barred from Securities Industry
Mitchell Kurtz – Henley & Company – Roslyn Heights, New York According to the Financial Industry Regulatory Authority (FINRA), the...
Ralph VonLutzow Barred from Securities Industry
Ralph VonLutzow – Oberweis Securities – Sarasota, FL According to the Financial Industry Regulatory Authority (FINRA) on...
BottomLine Inc.: Beware Brokers Who Run Up Charges
Bottom Line Inc. Article on Churning On December 1, 2018, Bottom Line Inc. published an article warning consumers to be careful of brokers...
Noel Carino Barred from Securities Industry
Noel Carino – General Securities Corp. – North Kansas City, MO According to the Financial Industry Regulatory Authority (FINRA) on...
