Principal protected notes(PPN) are a type of investment in which investors are guaranteed a return on their principal investment. It also gives them a chance to earn profits from their initial investment. This simply means that PPNs are designed to protect your initial investment. If the stock market does well, you will have a share […]
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The Financial Industry Regulatory Authority (FINRA) continues to penalize broker-dealers for irregularities in the sale of GPB Capital Holdings’ private placements. The most recent addition to the list is Center Street. This distinction is due to their failure to alert 20 investors that GPB, the issuer, had missed the deadline for filing certain documents with
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Haselkorn & Thibaut is currently investigating client losses JPMorgan Chase Auto Callable Contingent Interest Notes Linked to the S&P GSCI® Crude Oil Index Excess Return (SPGCCLP). It is alleged that many of the products were recommended to their clients without disclosing the risk and disclosures. As a result, many investors with conservative risk profiles have
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LPL Financial has been censured by the Financial Industry Regulatory Authority (FINRA) because they failed to supervise an affiliated broker whose outside dealing led to over $650K in losses for one of its customers. They have also been fined $150K. The red flags raised on account of the unidentified broker’s behavior were not picked up
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Wausau investment agent and broker Tony Liddell has been barred from practicing after the emergence of information on public records about him not investing almost $2 million that his clients, more than a dozen in number, entrusted him with for investments. His firm was known as Prosper Wealth Management (PWM), and he was registered with Landolt Securities
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