Alleged supervisory failures, linked to the misdeeds of a broker in the suburbs of Nashville, Tennessee, who is currently in prison, have earned a censure and a fine of $500K from the Securities and Exchange Commission (SEC) for St. Petersburg, Florida-based Raymond James & Associates. The CaseContentsThe CaseRecord of Broker StowConclusion The case is about …
Raymond James Fined $500K By SEC For Failure To Act Read More »
The UBS Yield Enhancement Strategy (UBS YES) is an investment strategy that aims to boost returns by selling options. However, this strategy can also lead to significant losses if the underlying security moves in the wrong direction. The Yield Enhancement Strategy (UBS YES), introduced by UBS Financial Services in 2015, was touted as an allegedly conservative …
UBS Yield Enhancement Strategy Lawsuit (FINRA) Filed By Investors For Losses Read More »
Non-traded REITs have been a source of income for quite some time, but there are various risks involved, especially concerning the choice of REIT. NorthStar Healthcare Income REIT was incredibly popular for some time, but recent events have led to an array of complaints and investigations. Our law firm currently represents investors who have filed …
NorthStar Healthcare Income REIT: Lawsuit (FINRA) Investor Notice Read More »
Formerly registered with Morgan Stanley, Wilmington, North Carolina-based financial advisor Shawn Good has been accused of operating a $4.8 million Ponzi scheme by the Securities and Exchange Commission (SEC). According to reported news, he faces two charges of felony. A federal judge in North Carolina has barred him from selling securities based on the permanent …
Morgan Stanley Advisor Shaw Good Barred After $4.8 Ponzi Scheme Read More »
Sanctuary Securities Inc. is the latest casualty of the irregularities over the private placement sale of offerings sponsored by GPB Capital. As per the letter of settlement made available by the self-regulating organization (SRO), it has been fined $60K by the Financial Industry Regulatory Authority (FINRA) for the sale of GPB Holdings II LP and …
Sanctuary Securities Fined by FINRA Over GPB Capital Sales (David A. Noyes & Company) Read More »