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Tag: FINRA

Blog, Securities Fraud

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...

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Blog, Securities Fraud

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...

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Blog, Securities Fraud

Securities Fraud Claims involving Atlanta based brokerage firm J.P. Turner & Company

The Atlanta Business Chronicle recently touted J.P. Turner & Company, LLC as one of Atlanta ’s Top 10 Brokerage Firms. The survey,...

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Blog, Securities Fraud

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...

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Blog, Securities Fraud

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...

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Blog, Securities Fraud

Municipal Bond Checklist

While municipal bonds (or muni’s) are generally a conservative, safer option that investing in stocks or junk bonds, investing in...

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