Month: November 2021
Aegis Capital Corp. Hit with $2.8M for Excessive Trades
FINRA Fines Aegis Capital Corp. $2.8M For Excessive and Unsuitable Trades According to The Financial Industry Regulatory Authority...
David Melilli Barred from Securities Industry
FINRA Bars Broker David Melilli after Allegations of Excessive, Unsuitable Trades According to the Financial Industry Regulatory...
Healthcare Trust Inc. (ARC Healthcare Trust II) Declines
Healthcare Trust Inc. (ARC Healthcare Trust II) – Value Continues to Decline Recovery of Investment Losses in Healthcare Trust Inc. ...
NB Loft Vue DST – Securities Investigation
Investigating Potential Claims: NB Loft Vue DST Are you concerned about your investment in NB Loft Vue DST? If so, the securities...
Broker Brian Pearce Suspended for FIP Sales
FINRA Suspends & Fines Broker Brian Pearce after Allegations of Selling Away According to public disclosures from the Financial...
Ex-Wells Fargo Broker James Seijas Barred from Securities Industry
FINRA Bars James Seijas after Allegations involving Q3 Trading Club Ponzi Scheme According to the Financial Industry Regulatory Authority...
