Author: D. Daxton White
Securities Fraud Risks of Reverse Mortgages
As first reported recently in the Orlando Sentinel, a boom in the reverse-mortgage business has become a magnet for the same profit-driven...
FINRA to Expand Program Evaluating All-Public Arbitration Panels
The Financial Industry Regulatory Authority (FINRA) recently announced the expansion of its two-year pilot program that gives investors who...
Important securities and FINRA (NASD) Links
FINRA BrokerCheck/CRD (FINRA’s brokercheck allows anyone to check the registration and regulatory history of a financial advisor, as well...
Frank Dipascali, Jr. Barred by the SEC
On October 5, 2009 the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities...
SEC Obtains Emergency Relief Against Randy W. Cho For Misappropriation of Investors' Funds and Ponzi Scheme
On October 7, 2009, the Securities and Exchange Commission (SEC) filed an emergency civil action in the U.S. District Court of the Northern...
Won Sok Lee pleads guilty to Ponzi scheme fraud
As first reported by the Sun Sentinel, a former Riviera Beach attorney recently plead guilty to a massive Ponzi scheme investment...