Bradley Woods & Co. Ltd. Sanctioned by FINRA Regarding Failure to Supervise and Private Placement Securities

2021-06-01T14:13:22-05:00June 1st, 2021|Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Bradley Woods & Co. Ltd. (CRD # 13660) was recently sanctioned by [...]

Carlton & Associates, Inc. Sanctioned by FINRA for Failure to Supervise Sales of Volatility-Linked ETPs

2021-05-26T15:28:19-05:00May 26th, 2021|Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Carlton & Associates, Inc. (CRD # 20999) was recently sanctioned by FINRA’s [...]

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

2021-05-02T20:34:10-05:00April 22nd, 2021|Markets and Products, Securities Law|

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 [...]

Louis Olave Suspended by FINRA From Securities Industry for Unapproved Sales of Future Income Payments, LLC

2021-04-12T19:34:11-05:00April 12th, 2021|FINRA - Broker Actions, Private Placements, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker, Louis M. Olave (CRD # 5904834) was recently suspended from the securities [...]

FINRA Sanctions Broker-Dealers Regarding Sales of LJM Preservation and Growth Fund

2021-04-07T09:39:18-05:00April 7th, 2021|Improper Mutual Fund Sales Practices, Markets and Products, Securities Law|

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

2021-05-02T20:32:01-05:00April 3rd, 2021|Markets and Products, Securities Law|

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 [...]

Cambridge Investment Research, Inc. Sanctioned by FINRA for Failure to Supervise Sales of LJM Preservation & Growth Fund

2021-05-02T20:36:46-05:00April 1st, 2021|Fraud, Improper Mutual Fund Sales Practices, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Cambridge Investment Research, Inc. (CRD # 39543) was recently sanctioned by FINRA’s [...]

J.W. Cole Financial, Inc. Sanctioned by FINRA For Failure to Supervise Sales of LJM Preservation & Growth Fund

2021-03-31T19:19:48-05:00March 31st, 2021|Improper Mutual Fund Sales Practices, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, J.W. Cole Financial, Inc. (CRD # 124583) was recently sanctioned by FINRA’s [...]

Go to Top