Author: D. Daxton White
D. Weckstein & Co., Inc. fined by FINRA
D. Weckstein & Co., Inc. (CRD #20338, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...
Omni Brokerage to close.
According to the Investment News, Omni Brokerage Inc., based in South Jordan, Utah, said at the end of April it would withdraw its...
David Lerner Associates Investigated by FINRA
According to the Investment News, David Lerner Associates Inc. has been accused of targeting unsophisticated and elderly customers while...
Securities Network closes its doors.
According to the Investment News, another small broker-dealer that sold high-risk private placements is out of business. Securities Network...
Investigation Involving Raymond Lucia Sr.
The White Law Group is investigating possible securities fraud claims on behalf of an investor involving investment recommendations made by...
Nuveen Investments fine by FINRA over Auction Rate Securities
According to the Investment News, the Financial Industry Regulatory Authority Inc. has hit Nuveen Investments LLC, the broker-dealer...