National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, National Securities Corporation (CRD # 7569) was recently sanctioned by FINRA’s Department [...]
McDonald Partners LLC Sanctioned by FINRA for Failure to Perform Due Diligence on Private Placement Offering
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, McDonald Partners LLC (CRD # 135414) was recently sanctioned by FINRA’s Department [...]
Torch Securities, LLC Sanctioned by FINRA Regarding Due Diligence and Supervision Failures
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Torch Securities, LLC (CRD # 133642) was recently sanctioned by FINRA’s Department [...]
Berthel, Fisher & Co. Financial Services, Inc. Sanctioned by FINRA for Failure to Perform Due Diligence
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Berthel, Fisher & Co. Financial Services, Inc. (CRD # 13609) was recently [...]
Matthew Perry Barred by FINRA from Securities Industry After Refusing to Cooperate In Options Trading Investigation
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that now former broker/investment adviser, Matthew Alexander Perry (Alex Perry) (CRD # 5985300) was recently [...]
Independent Financial Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of Non-Traded REITs
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Independent Financial Group, LLC (CRD # 7717) was recently sanctioned by FINRA’s [...]
FINRA Sanctions Broker-Dealers Regarding Sales of LJM Preservation and Growth Fund
Recently, FINRA sanctioned several broker-dealers regarding their actions with respect to the recommendation of sales to customers and supervision of such sales of LJM Preservation and [...]
American Independent Securities Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of CMO’s
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, American Independent Securities Group, LLC (CRD # 135288) was recently sanctioned by [...]
Dalmore Group LLC Sanctioned by FINRA for Failure to Supervise Private Placement Offerings
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Dalmore Group LLC (CRD # 136352) was recently sanctioned by FINRA’s Department [...]
Brokerage Suitability Obligations When Customer Investment Objectives Have Changed
Many investors were negatively impacted by the extreme events of 2020. Death, illness and loss of employment or business are just a few of the life-altering [...]