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Tag: Baltimore

Blog, Securities Fraud

Maryland Securities Laws

Each state has its own securities laws. The following are selected sections of the Maryland securities laws that are generally applicable...

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Blog, Securities Fraud

Charles James Moni fined and suspended from FINRA for securities violations.

FINRA recently announced that Charles James Moni, a financial advisor formerly registered with Jesup & Lamont Securities Corp, a FINRA...

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Blog, Securities Fraud

Frederick J. Barton, formerly of Enterprise Equities, Inc. in Columbia, Maryland, being investigated for possible securities violations.

The SEC recently announcements that an Administrative Law Judge issued an Initial Decision in Frederick J. Barton (Barton), Admin. Proc....

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