Month: September 2011
Churning (Excessive Trading), Informational Video
Informational video on Churning fraud (Excessive trading) Churning fraud is defined as an unethical practice employed by some financial...
Paron Capital Management Charged with False Statements
According to a CFTC public release, the CFTC alleges that Paron Capital Management, LLC (Paron) and a member of the firm “during a March...
FINRA Warns Investors about Gold Stocks
FINRA recently released an investor alert encouraging investors to be extra cautious in investing in Gold related investment products. ...
Independent Broker-Dealers Sell Fewer Non-traded REITs
According to a recent article on the investmentnews.com website, some independent broker-dealers are permitting their representatives to...
SEC Complaint: Richard A. Finger, Jr., Black Diamond Securities
According to Forbes.com, the Securities and Exchange Commission has filed a complaint against Richard A. Finger, Jr. and his broker-dealer,...
