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 [...]

Growth Capital Services, Inc. Sanctioned by FINRA Over Private Placement Offerings

2021-01-20T14:08:54-05:00January 20th, 2021|Fraud in Underwriting, Markets and Products, Misrepresentation, Private Placements, Securities Law|

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 [...]

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