Author: D. Daxton White
NFA Investigates Texas Commodity Trading Advisor FINFX
National Futures Association (NFA) recently announced that it has taken an emergency enforcement action against FIN FX LLC (FINFX) and its...
FINRA Fines Broker Michael Hendry For Insider Trading
The Financial Industry Regulatory Authority (FINRA) recently announced that a former registered representative, Michael Hendry, has been...
Capital Financial Services In More Trouble?
According to the Investment News, the Securities and Exchange Commission has alleged that an independent broker-dealer that was a leading...
Recovery of Keith Epstein Fraud Losses
Have you suffered investment losses as a result of your dealings with Farmington Hill financial advisor Keith Epstein? If so, The White...
Brian Schuster Settles Securities Class Action
According to KKNTV in Lincoln, Nebraska, more than 200 investors who claim they were defrauded by a pair of Nebraska City brokers will...
CapWest Securities Hanging On By A Thread?
According to the Investment News, another independent broker-dealer that sold high-risk private placements is hanging on by a thread, with...