Tag: Florida
Jamik Jamar Ligon fined and suspended by FINRA
FINRA recently announced that Jamik Jamar Ligon, formerly of Merrill Lynch, Pierce, Fenner & Smith, Incorporated in Jersey City, New...
Risks of Investing in Reverse Convertible Securities (Notes)
A reverse convertible security or reverse convertible note is a short-term note linked to an underlying stock. The security offers steady...
FINRA Fines Citigroup, UBS and Deutsche Bank $425,000
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, UBS Securities and...
Dermot A. Graham barred from FINRA for securities violations.
FINRA recently announced that Dermot A. Graham, formerly of PFS Investments, Inc. in Pompano Beach, Florida, has been barred from...
Gary Gross and Axiom: Boca investment fraud
Boca investment fraud case involving Gary Gross formerly of Axiom Capital Management spotlights need to be vigilant As reported in the Sun...
Jorge Gerardo Pereira suspended from FINRA
Jorge Gerardo Pereira, formerly of Synergy Investment Group, LLC in Miami, Florida, suspended from FINRA and fined $5,000. Without...
