Tag: ponzi scheme attorney

March 5, 2012

Park Avenue Securities LLC fined by FINRA over ponzi scheme.

As a result of a FINRA investigation, Park Avenue Securities LLC was recently censured and fined $175,000. Without admitting or denying the...

Blog, Securities Fraud Articles

January 26, 2012

Merrill Lynch fined by FINRA For Failure to Supervise

The Financial Industry Regulatory Authority (FINRA) announced that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million...

Blog, Securities Fraud Articles

January 24, 2012

SEC Sanctions 1st Discount Brokerage Over Failure To Detect Ponzi Scheme

On January 23, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section...

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