Conflicts of Interest2020-02-04T12:14:23-05:00

Have You Lost Money From Your Broker Engaging In Selling Away?

By |December 10th, 2020|Tags: , , , , , , , , , , , , , , , |

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 [...]

NPB Financial Group, LLC Sanctioned by the SEC for Breach of Fiduciary Duty

By |August 25th, 2020|Tags: , , , , , , , , , , , , , , , |

Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against investment advisory firm, NPB Financial Group, LLC [...]

Chardan Capital Markets, LLC Sanctioned by FINRA for Failure to Supervise Conflicts of Interest

By |July 15th, 2020|Tags: , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Chardan Capital Markets, LLC (hereinafter “Chardan”) (CRD # 120128) was recently sanctioned [...]

FINRA Brings Disciplinary Proceedings Against Julian Jay Piekarczyk for “Unethical Course of Conduct”

By |June 17th, 2020|Tags: , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement has recently brought disciplinary proceedings against broker/advisor Julian Jay [...]

Low Interest Rate Environment and REITS & TIC’s

By |March 12th, 2020|Tags: , , , , , , , , , , , , , , |

With interest rates at historic lows over the past two decades, has your broker recommended the purchase of either a real estate investment trust (REIT) or [...]

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