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 [...]
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 [...]
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 [...]
NPB Financial Group, LLC Sanctioned by the SEC for Breach of Fiduciary Duty
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
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 [...]
Regulation Best Interest: A Good First Step for Increased Investor Protection
On June 30, 2020, the Securities and Exchange Commission (“SEC”) began enforcing Regulation Best Interest (“Reg BI”) and the use of the new Client Relationship Summary [...]
FINRA Brings Disciplinary Proceedings Against Julian Jay Piekarczyk for “Unethical Course of Conduct”
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
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 [...]