Author: D. Daxton White
Variable annuity sales at independent broker-dealers
The Investment News just released data on the variable annuity sales at independent broker-dealers. As you can see from the chart...
SEC Files Action Against former FTN Financial employee
On December 15, 2011, the Securities and Exchange Commission filed a civil injunctive action against Stephen M. Folan, a former registered...
Cornerstone REIT, CIP Leveraged Fund Securities Investigation
Have you suffered investment losses in a Cornerstone real estate or CIP Leveraged Fund investment? If so, the following information may be...
Overview of the FINRA Arbitration and Litigation Process
The following is a brief summary of the FINRA Arbitration Process. If you have a dispute with your brokerage firm or financial...
FINRA Proposal for Faster Valuations of Non-traded REITs
According to the investmentnews.com, FINRA “is putting the finishing touches on a rule proposal that would shorten the amount of time...
Fidelity to Repurchase Illiquid Auction Rate Securities
Fidelity Brokerage Services LLC Agrees to Repurchase Illiquid Auction Rate Securities and FINRA Sets Up a Special Arbitration Panel (SAP)...