Markets & Products2020-03-11T14:46:54-05:00

Independent Financial Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of Non-Traded REITs

By |April 22nd, 2021|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

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

By |April 7th, 2021|Tags: , , , , , , , , , , , , , |

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

By |April 3rd, 2021|Tags: , , , , , , , , , , , , , , , , , , |

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

By |March 23rd, 2021|Tags: , , , , , , , , , , , , , , |

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 [...]

Social Media Driven Stock Market Frenzy – Securities Fraud In the Digital Age

By |January 28th, 2021|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

GameStop Corp. (GME), AMC Entertainment Holdings (AMC) and BlackBerry Ltd. (BB) have seen their stock prices rise dramatically over the past few weeks after being the [...]

Growth Capital Services, Inc. Sanctioned by FINRA Over Private Placement Offerings

By |January 20th, 2021|Tags: , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer/investment adviser, Growth Capital Services, Inc. (CRD # 124658) was recently sanctioned by [...]

Timothy James Pandekakes Suspended from the Securities Industry by FINRA

By |December 18th, 2020|Tags: , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker Timothy James Pandekakes (CRD # 4890164) was recently suspended from the securities [...]

Michael Magill Barred from the Securities Industry by FINRA

By |December 14th, 2020|Tags: , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that former broker/adviser Michael Edward Magill (CRD # 2024663) was recently barred from the [...]

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