FINRA investigation
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Erik P. Pica Broker Investigation, Featured by Top Securities Fraud Attorneys, The White Law Group August 22, 2019

Erik P. Pica Broker Investigation

FINRA Investigation: Erik P. Pica – Joseph Stone Capital, New York, NY On July 22,

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May 7, 2013

New Jersey Financial Advisor barred from securities industry for alleged...

FINRA recently announced that Sean Francis Sheridan (a financial advisor based in

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October 26, 2011

UBS Fined $12 million by FINRA for Regulation SHO violations...

The Financial Industry Regulatory Authority (FINRA) recently said in a release that

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October 5, 2011

FINRA Continues their Focus on Non-traded REITs with an Investor...

FINRA released an investor alert for public non-traded REITs “to help investors

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September 8, 2011

FINRA Fines Point Capital Inc., John Thomas Financial, First Midwest...

According to a recent FINRA press release, Point Capital Inc., John Thomas

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August 30, 2011

Top 10 Most Common Types of Securities Fraud

As a national securities litigation law firm and investor protection advocate, the

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