Month: July 2017
Merrill Lynch, Pierce, Fenner & Smith Censured and Fined
FINRA Fines Merrill Lynch, Pierce, Fenner & Smith for Compliance Issues Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD...
FSC Securities Corporation Censured and Fined
FINRA Fines FSC Securities Corporation for Compliance Issues FSC Securities Corporation (CRD #7461, Atlanta, Georgia) submitted an AWC in...
FINRA Bars Gregg Templeton from the Securities Industry
FINRA June 2017 Disciplinary Report According to FINRA, Gregg Templeton (CRD #2412775, New York, New York) submitted an AWC in which he...
Behringer Harvard Opportunity REIT II Secondary Market Sales
Concerned about investment losses in Behringer Harvard Opportunity REIT II? Did you lose money investing in Behringer Harvard Opportunity...
Fitch downgrades Puerto Rico COFINA bonds to D
COFINA Bonds Investment Losses Did you lose money investing in Puerto Rico COFINA Bonds at the recommendation of your broker? If so, the...
Hospitality Investors Trust Inc. Secondary Market Sales
Potential Claims Involving Hospitality Investors Trust Inc. Did you lose money investing in Hospitality Investors Trust Inc. at the...
