Tag: FINRA investigation
Erik P. Pica Broker Investigation
FINRA Investigation: Erik P. Pica – Joseph Stone Capital, New York, NY On July 22, 2019 The Financial Industry Regulatory Authority ...
UBS Fined $12 million by FINRA for Regulation SHO violations
The Financial Industry Regulatory Authority (FINRA) recently said in a release that “it has fined UBS Securities LLC $12 million for...
FINRA Continues their Focus on Non-traded REITs
FINRA released an investor alert for public non-traded REITs “to help investors understand the benefits, risks, features and fees of...
FINRA Fines Multiple Firms for Excessive Handling Fees
According to a recent FINRA press release, Point Capital Inc., John Thomas Financial, First Midwest Securities, Inc., A&F Financial...
Top 10 Most Common Types of Securities Fraud
As a national securities litigation law firm and investor protection advocate, the firm sees all types of securities fraud. The firm has...
