Tag: Houston securities lawyer

October 1, 2012

Sanders Morris Harris fined by FINRA

Sanders Morris Harris, Inc. (CRD #20580, Houston, Texas) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...

Blog, Securities Fraud Articles

January 17, 2012

Institutional Capital Management, Inc. fined by FINRA

Institutional Capital Management, Inc., a FINRA registered broker-dealer based in Houston, Texas, recently submitted a Letter of...

Blog, Securities Fraud Articles

September 26, 2011

Securities Regulatory Information Regarding NEXT Financial

The following is a brief breakdown of publicly available information regarding NEXT Financial and its securities sales practices and FINRA...

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