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

Moloney Securities Sanctioned by FINRA for Its Sales of GPB Capital Holdings to Customers

By |December 28th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Moloney Securities Co., Inc. (CRD # 38535) was recently sanctioned by FINRA’s [...]

Increased Scrutiny of Securities Recommendations by Social Media Influencers

By |December 16th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , |

Securities regulators and law enforcement have stepped up their efforts in combating securities fraud through social media influencers and their recommendations.  The rise of social media [...]

Law Office of Kevin J. Deloatch, Esq. Investigating Purchases of Erin Energy Corporation Through Cabot Lodge Securities and Arben (“Ben”) Gecaj

By |November 5th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

The Law Office of Kevin J. Deloatch, Esq. is currently investigating recommended transactions in the common stock of Erin Energy Corporation through Cabot Lodge Securities LLC [...]

National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

By |June 26th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

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

By |June 24th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , |

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

By |June 22nd, 2022|Tags: , , , , , , , , , , , , , , , , , , , |

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

By |June 21st, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , |

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

By |August 12th, 2021|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , |

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

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 [...]

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