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Tag: FINRA
Ameritas fined for Variable Life Products
Plans Recommended Using Funds Obtained From Mortgage Refinancings and Home Equity Loans FINRA Also Suspends Broker for Nine Months, Fines...
Tips on how to select a financial professional
One of the things we hear most often from clients is about how the investor’s financial advisor was a Vice-President and they trusted him...
Securities Fraud Claims involving J.P. Turner & Co
The Atlanta Business Chronicle recently touted J.P. Turner & Company, LLC as one of Atlanta ’s Top 10 Brokerage Firms. The survey,...
Brief Summary of the Florida Securities Act (Florida Statute Chapter 517)
The Florida Securities Act (Florida Statute Chapter 517) The Florida securities laws are administered by the Florida Department of Banking...
Frances Ann Reams suspended from FINRA
In June 2009, FINRA announced that Frances Ann Reams, then employed with Wachovia Securities, LLC in Roanoke, Virginia, had been suspended...
Municipal Bond Checklist
While municipal bonds (or muni’s) are generally a conservative, safer option that investing in stocks or junk bonds, investing in...
