Month: September 2019
J.P. Morgan Securities Censured & Fined $1.1 Million
FINRA Sanctions J.P. Morgan Securities for Failure to Disclose Broker Misconduct According to a press announcement, on September 16, 2019,...
Cetera to pay $185,000 to settle SEC charges
Cetera Investment Advisers Sanctioned for Solicitation Disclosure Violations Cetera Investment Advisers LLC will reportedly pay a penalty...
Marty Batstone Barred by FINRA
Financial Advisor Marty Batstone, Independent Financial Group in San Diego, CA Are you concerned about investments with Marty Batstone in...
Lightstone Real Estate Income Trust Investigation
Lightstone Real Estate Income Trust lowers distributions The White Law Group continues to investigate claims involving broker dealers who...
Hilltop Securities Censured & Fined $250,000
FINRA Sanctions Hilltop Securities, Dallas, Texas According to the public records on FINRA’s website, on September 23, 2019, the...
Renewable Energy and Power Inc. Securities Fraud Investigation
SEC files charges in $3.1 Million alleged Boiler–Room Scheme, Central Islip, New York According to a press release on Monday, the...
