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Tag: FINRA investigation

Erik P. Pica Broker Investigation, Featured by Top Securities Fraud Attorneys, The White Law Group

Current Investigations, Securities Fraud

August 22, 2019

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

May 7, 2013

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

October 26, 2011

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

October 5, 2011

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...

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Blog, Securities Fraud

September 8, 2011

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

August 30, 2011

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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