Author: D. Daxton White
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...
FINRA Fines Broker-Dealers $1.65 Million for Supervisory Failures
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined five bank broker-dealers a total of $1.65 million...
FINRA issues alert about “Phishing” Scam
FINRA recently issued an Alert to warn the public about a recent auction rate securities (ARS) “phishing” scam that promises...
