Tag: Boca Raton
Risks of Investment syndicates
An investment syndicate is a temporary association of investors brought together for the purpose of pooling funds to invest in a larger...
New Florida Bankruptcy Holding
The Law Offices of David A. Carter, P.A. recently prevailed in a bankruptcy case of first impression. The issue before the Court was...
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...
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...
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...
