Author: D. Daxton White
SEC Order: United Global Securities, Richard D. Blair
On September 29, 2009 the Securities Exchange Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings,...
Robyn Lynn O’Hara barred from FINRA
FINRA recently announced that Robyn Lynn O’Hara, formerly of WFG Investments, Inc. in Snellville, George, has been barred from FINRA for...
Jamik Jamar Ligon fined and suspended by FINRA
FINRA recently announced that Jamik Jamar Ligon, formerly of Merrill Lynch, Pierce, Fenner & Smith, Incorporated in Jersey City, New...
Risks of Investing in Reverse Convertible Securities (Notes)
A reverse convertible security or reverse convertible note is a short-term note linked to an underlying stock. The security offers steady...
FINRA Fines Citigroup, UBS and Deutsche Bank $425,000
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, UBS Securities and...
Francine Ann Lanaia, of Alexander Capital suspended by FINRA
FINRA recently announced that Francine Ann Lanaia, of Alexander Capital, L.P. in Fort Salanga, New York, has been fined $5,000 and...