Tag: unsuitable investments
Chase to pay $3.6 Million in Reimbursements and FINRA Fines
According to the Financial Industry Regulatory Authority (FINRA) they have fined Chase Investment Services $1.7 million and ordered them to...
Behringer Harvard REIT I Quarterly Report Indicates Struggles
Behringer Harvard REIT I, Inc. recently issued its latest Form 10-Q quarterly report which is now publicly available through the SEC’s...
Securities Regulators Direct Attention to Nontraded BDCs
A recent article by Bruce Kelly of the investmentnews.com reports on how nontraded business development companies (BDC’s) are becoming...
Cornerstone’s CIP Leveraged Fund Advisors Investment Losses
The White Law Group is continuing to investigate and pursue investment losses in Cornerstone’s CIP Leveraged Fund Advisors (CLFA) on...
Jefferson County, Alabama Declares Municipal Bankruptcy
According to the investmentnews.com “Jefferson County, Alabama, declared the largest municipal bankruptcy in U.S. history, capping a more...
Velocity Futures, LLC Sanctioned by the CFTC for Failure to Supervise
According to a public press release from the U.S. Commodity Futures Trading Commission (CFTC) they “filed and simultaneously settled...
