Author: D. Daxton White
Guggenheim Securities fined by FINRA over CDO trading activity.
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Guggenheim Securities, LLC of New York $800,000...
South Florida Broker Accused of Stealing from Investors
According to news reports of documents filed August 31 in federal court, William T. Johnson of Palm Beach Gardens has been accused of...
Michigan financial advisor implicated in fraudulent scheme.
According to reports, a Michigan financial advisor named Dante DeMiro has pleased guilty to three counts of bank fraud and two counts of...
SEC charges four brokers with illegal trading scheme.
The Securities and Exchange Commission recently charged four brokers with illegally overcharging customers $18.7 million by using hidden...
SEC files charges against Pennsylvania financial advisor
The Securities and Exchange Commission recently announce that it has filed civil and criminal charges against a Pennsylvania man accused of...
FINRA Steps Up Investigations Into Nontraded REITs
According to an Investment News report, nontraded REITs and potential shortcomings in how broker-dealers sell them are once again in the...