Current Investigations
FINRA Bars Clay E. Hoffman from the Securities Industry
FINRA June 2017 Disciplinary Report According to the Financial Industry Regulatory Authority, Clay E. Hoffman (CRD #4371162, Brunswick,...
iShares MSCI Russia Capped ETF (ERUS) Investment Losses
Investigating Potential Claims Involving iShares MSCI Russia Capped ETF (ERUS) Have you suffered losses investing in iShares MSCI Russia...
Merrill Lynch, Pierce, Fenner & Smith Censured and Fined
FINRA Fines Merrill Lynch, Pierce, Fenner & Smith for Compliance Issues Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD...
FSC Securities Corporation Censured and Fined
FINRA Fines FSC Securities Corporation for Compliance Issues FSC Securities Corporation (CRD #7461, Atlanta, Georgia) submitted an AWC in...
FINRA Bars Gregg Templeton from the Securities Industry
FINRA June 2017 Disciplinary Report According to FINRA, Gregg Templeton (CRD #2412775, New York, New York) submitted an AWC in which he...
Behringer Harvard Opportunity REIT II Secondary Market Sales
Concerned about investment losses in Behringer Harvard Opportunity REIT II? Did you lose money investing in Behringer Harvard Opportunity...
