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Tag: Securities Lawyer

Blog, Current Investigations

RBC Capital Markets to pay $800,000 for Unfair Dealing in Municipal Bonds

SEC charges RBC and two execs with Municipal Bond Rules Violations  According to a press release on September 17, the Securities and...

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Blog, Securities Fraud Articles

Santander Investment Securities Inc. Censured & Fined 

FINRA Sanctions Santander Investment Securities for Inaccurate Disclosures  According to the Financial Industry Regulatory Authority...

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Blog, Investment Loss Recovery

NB Taylor Bend files Chapter 11 Bankruptcy 

Investor Alert: NB Taylor Bend 2, LLC Are you concerned about your investment in NB Taylor Bend DST? If so, the securities attorneys at The...

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Blog, Current Investigations

Jason LaBelle, LPL Financial, Barred from the Securities Industry

FINRA Bars Boker Jason LaBelle after Allegations of Outside Business Activities According to the Financial Industry Regulatory Authority...

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Blog, Current Investigations

Douglas Szempruch Suspended from the Securities Industry

FINRA Reportedly Suspends Douglas Szempruch after Allegations of Unsuitable & Unauthorized Trades According to public records from the...

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Blog, Current Investigations

Tyler Rigsbee Barred from the Securities Industry

FINRA Reportedly Bars Tyler Rigsbee after Allegations of Misdirection of Client’s funds According to the Financial Industry Regulatory...

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