Tag: Medical Capital losses
Workman Securities Settles with FINRA
According to Investment News, a broker-dealer that was a prominent seller of high-risk private placements that wound up going bust has...
QA3 Financial to cease operations.
According to the Investment News, QA3 Financial is to cease operations. Facing bankruptcy and a potential net capital violation, QA3...
FINRA focused on Private Placements and Non-Traded REITs
Broker-dealer sales of opaque and illiquid private investments are squarely in the sights of securities regulators at the Financial...
FINRA Rules on Private Placement Investments
Private Placement Investments have become a hot button issue for FINRA regulators and securities attorneys representing investors. The...
Current Securities Fraud Investigations
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance...
