Tag: Medical Capital losses
Brokerage Firms Performed Poor Due Diligence
Expert Says Some Brokerage Firms Faild to perform Due Diligence on private placement investments. A recent article by Bruce Kelly of the...
Securities Investigation: Oil and Gas LPs and Private Placements
The White Law Group is investigating potential securities fraud claims on behalf of investors involving broker-dealers recommending that...
Ameriprise Setting Aside Reserves for Securities America Claims
According to the Investment News, Ameriprise Financial Inc. has announced that it is setting aside $40 million in legal reserves for class...
Another FINRA Private Placement Investigation
According to the Investment News, National Securities Corp. is the latest broker-dealer to face disciplinary action from Finra over the...