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SEC charges Frank Bluestein with securities fraud

The Securities and Exchange Commission recently announced that it had charged Detroit-area stock broker Frank Bluestein, formerly of...

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Blog, Securities Fraud Articles

David Michael Piazza fined and suspended from FINRA

FINRA recently announced that David Michael Piazza, formerly of Farmers Financial Solutions, LLC in Montgomery, Illinois, has been fined...

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Blog, Securities Fraud Articles

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,...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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