Tag: securities losses
Brean Murray, Carret & Co. Fined by FINRA
Brean Murray, Carret & Co., LLC (CRD #23723, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which...
Victoria McGee-Harris pleads guilty
According to the U.S. Attorney’s office for the Southern District of Illinois, a St. Louis woman faces up to 30 years imprisonment and/or...
Broker James J. Konaxis Charged By SEC
According to the Investment News, James J. Konaxis, a former broker, has been charged with defrauding the widow of a victim of the Sept....
Recovery of KBS REIT Investment Losses
Investment Losses in KBS REIT Have you suffered investment losses in KBS REIT? Are you concerned about KBS REITs current price valuation?...
Ensemble Financial Services to close.
According to the Investment News, yet another independent broker-dealer is closing shop, this time due to the burden of compliance and...
