Call Now for a Free Consultation
(888) 637-5510

Tag: excessive markups

Blog, Securities Fraud

SEC Commissioner Speaks Out about Lack of Bond Oversight

According to FA-Magazine, the commission of the SEC, Luis Aguilar, made claims that retail investors are often victim to higher markups in...

Read More

Blog, Securities Fraud

FINRA Fines Securities Firm $1 Million

According to the Financial Industry Regulatory Authority (FINRA), StateTrust Investment Inc has been fined $1.045 million by FINRA and...

Read More

Blog, Securities Fraud

FINRA Investigates Long Island brokerage firm David Lerner & Associates

According to the New York Post, in May 2010, FINRA accused Long Island brokerage firm David Lerner Associates and its head trader, William...

Read More

Blog, Securities Fraud

APS Financial Corporation Expelled By FINRA

Financial Industry Regulatory Authority (FINRA) recently announced that it has expelled APS Financial Corporation, located in Austin,...

Read More

Blog, Securities Fraud

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered in Houston, Texas, $1 million for supervisory...

Read More