Securities Lawyer
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August 23, 2009

Marc Steven Broder, formerly of Kovack Securities, Inc. in Coral...

According to FINRA, Marc Steven Broder was recently barred from FINRA and from

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August 23, 2009

Edward Dee Basham, formerly of WAMU Investments, Inc. in Houston,...

According to FINRA, Edward Dee Basham was recently barred from FINRA and from

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August 22, 2009

Terrence Thomas Alexander, formerly of Chicago Investment Group and CCO...

According to FINRA, Terrence Thomas Alexander was recently barred from FINRA and

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August 22, 2009

UBS Securities LLC, based in Stanford, Connecticut, fined by FINRA.

UBS Securities LLC was recently fined $320,000 by FINRA and required to revise its

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ETFs August 22, 2009

Risks of Investing in leveraged and inverse exchange-traded funds (ETFs)

Exchange-Traded Funds The SEC and FINRA recently issued an Alert about

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August 20, 2009

Ryan Muneo Kimura, formerly of Sun Life Financial Distributors, Inc....

According to a recent FINRA announcement, Ryan Muneo Kimura, formerly of Sun Life

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August 20, 2009

Stephanie Murch Haggerty, formerly of Register Financial Associates, Inc. in...

According to a recent FINRA announcement, Stephanie Murch Haggerty, formerly of

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August 20, 2009

Eric Evan Everson, formerly of Brokers International Financial Services, LLC...

According to a recent FINRA announcement, Eric Evan Everson, formerly of Brokers

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August 20, 2009

Francis Michael Evans, formerly of NY Life Securities in LaGrange,...

According to a recent FINRA announcement, Francis Michael Evans, formerly of NY Life

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August 20, 2009

James Stephen Eckes, of Parrish, Florida (outside of St. Petersburg),...

According to a recent FINRA announcement, James Stephen Eckes, of Parrish, Florida,

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