Insights
May 24, 2017
Promissory notes are often used by companies to raise revenue. Investors loan money to the company in exchange for a promise to repay the principal, plus interest, on a specific date. While these form...
May 17, 2017
Not every investment loss is the fault of your broker. Even the most upstanding, capable broker can put you in an unsuccessful investment. However, in some situations, investors lose substantial amoun...
May 10, 2017
A financial planner offers a variety of benefits. The right individual can help you achieve a long-term financial goal or guide you toward a lifetime of financial security. Unfortunately, many individ...
May 3, 2017
Many investors wonder about the differences between discretionary and non-discretionary investment accounts or do not even realize that there are two types of such accounts that function quite differe...
May 3, 2017
Since 2014, the news has been telling the story of Thomas C. Davis, the former chairman of Dean Foods, a professional gambler named Billy Walters and golf legend Phil Mickelson. According to the Justi...
April 26, 2017
Precious metals, like gold and silver, are classified as commodities. The United States Commodity Futures Trading Commission (CFTC) is the federal agency that regulates commodity markets. The agency h...
April 26, 2017
The SEC accused former broker Demitrios Hallas with trading leveraged Exchange Traded Funds (ETFs) and Exchange Traded Notes (ETNs) in clients’ accounts and swindling $170,000 from one of his cl...
April 5, 2017
When an investor is the victim of securities fraud or negligence, he or she can bring a claim for damages against the broker, advisor or firm. Much of the time, the case will be heard in front of an a...
March 30, 2017
Corrine Mittag, formerly a broker with BancWest Investment Services, is looking at sanctions from FINRA for allegedly wiring $34,000 from a client’s account without approval and as requested by ...
March 29, 2017
For many people, the phrase “securities fraud” is synonymous with Bernie Madoff, the man who ran a multi-billion dollar Ponzi scheme that resulted in thousands of people losing their investment funds....
March 10, 2017
FINRA has barred Red River Securities, a broker-dealer formerly out of Plano, Tax, and its Chief Executive Officer Keith Hardwick for fraudulently selling five oil and gas joint ventures, calling the ...
March 2, 2017
Craig David Dima, an ex-registered representative with K.C. Ward Financial in Ronkonkoma, New York, was barred from the securities industry by FINRA for making unauthorized and unsuitable trades amoun...
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