Tag: NASD
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...
Proposed Legislation Aimed At Protecting Elderly Investors
According to the Sun Sentinel, U.S. Rep. Ted Deutch recently unveiled proposed legislation aimed at protecting the elderly from financial...
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...
Risks of Non-rated Municipal Bonds
According to the Investment News, four firms are managing high-yield municipal bond funds with more than 40% of their assets invested in...
Ensemble Financial Services to close.
According to the Investment News, yet another independent broker-dealer is closing shop, this time due to the burden of compliance and...
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...
