Author: D. Daxton White
NFA Investigates D2W Capital Management
National Futures Association (NFA) recently announced that it has taken an emergency enforcement action against D2W Capital Management LLC...
Investigation Involving Piedmont Office REIT
Stifel Nicolas recently picked up coverage of PDM with a not so flattering “Hold” rating. Piedmont, of course, is the offspring of...
Arbitration Award Against Wedbush Securities
According to the Investment News, Wedbush Securities Inc. was ordered to pay a former municipal sales trader Stephen Kelleher $3.5 million...
Award Against Merrill Lynch Involving Broker Phil Scott
According to the Investment News, clients of a prominent Bank of America Merrill Lynch have won an $880,000 arbitration award against the...
Arbitration Award Against Fisher Investments
According to the Investment News, Fisher Investments Inc., the firm run by Forbes magazine columnist Kenneth Fisher, may have to pay...
Apple REIT Dividend Adjustment
According to the Long Island Business News, Apple REIT Eight, a non-traded real estate investment trust sold exclusively by...