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Tag: FINRA investigation

Current Investigations, Securities Fraud

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 ...

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Blog, Securities Fraud

New Jersey Financial Advisor barred from securities industry

FINRA recently announced that Sean Francis Sheridan (a financial advisor based in Oakhurst, New Jersey) has been barred from association...

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Blog, Securities Fraud

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...

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Blog, Securities Fraud

FINRA Continues their Focus on Non-traded REITs with an Investor Alert

FINRA released an investor alert for public non-traded REITs “to help investors understand the benefits, risks, features and fees of...

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Blog, Securities Fraud

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...

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Blog, Securities Fraud

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...

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