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 [...]
On-Line Trading and Brokerage Firm Liability
Does your brokerage firm have liability for on-line trading losses? Recent occurrences in the retail brokerage industry, including “no commission” trading and the introduction of apps [...]
Growth Capital Services, Inc. Sanctioned by FINRA Over Private Placement Offerings
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
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
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 [...]
Have You Lost Money From Your Broker Engaging In Selling Away?
Have you lost money in a “hot new investment with great returns” recommended by your broker just to later find out it wasn’t even a product [...]