Author: D. Daxton White
Former Broker James W. Murphy Pled Guilty
As trustee of the Elizabeth Parkman Foundation, Murphy, was accused of spending the foundations money on personal expenses. Allegedly...
CFTC Files Charges Against Micheal J. Siegel
The Commodities Futures Trading Commission (CFTC) filed a lawsuit against two California firms, TOTE Fund LLC (TOTE) and MJS Capital...
FINRA announces charges against John Carris Investments
The Financial Industry Regulatory Authority (FINRA) recently announced various charges against brokerage firm John Carris Investments....
Dangers Advertising Unregistered Securities
On Monday Sept 23, 2013 a new rule went into effect that lifts the 80 year old ban on advertising for private placements or unregistered...
Recovery of Corporate Properties Associates 16 Investment Losses
On July 25, 2013, Corporate Properties Associates 16 (CPA 16) entered into a merger agreement with the publicly traded REIT, W.P Carey...