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 [...]

Charles Kenahan Barred from the Securities Industry by FINRA After Churning Investigation

2021-01-25T20:33:57-05:00January 25th, 2021|Churning, FINRA - Broker Actions, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/investment adviser Charles Kenahan (CRD # 1351974) was recently barred from the securities [...]

Cabot Lodge Securities LLC Charged by FINRA with Multiple Securities Violations

2020-04-15T22:01:55-05:00April 15th, 2020|Fraud in Underwriting, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that FINRA’s Department of Enforcement recently brought disciplinary proceedings against broker-dealer Cabot Lodge Securities [...]

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