An investor in the TNP 2008 Participating Notes Program, LLC, which went into default last year, recently filed a class action claim against Berthel Fisher[...]
Investment News
FINRA recently filed a complaint against real estate investor Tony Thompson and his broker-dealer, TNP Securities, LLC. FINRA alleges that Thompson and TNP Securities deceived[...]
Sonn Law Group recently filed several FINRA arbitration claims against NFP Securities, Inc., and Securities America, Inc., on behalf of investors who made investments through[...]
Detroit filed for Chapter 9 bankruptcy on Thursday, July 17, with an estimated $18.5 billion in debt, making it the largest municipal bankruptcy in U.S.[...]
The SEC recently charged Blake Richards (“Richards”), a former registered representative of LPL Financial (“LPL”) in Buford, Georgia, with defrauding investors and misappropriating $2 million[...]
LPL Financial LLP (“LPL”) will pay $9 million following a FINRA investigation of LPL’s email system. Of that, $7.5 million will be paid as a[...]
The SEC and FINRA recently issued an Investor Alert regarding buying or selling pension or structured settlement income streams. A structured settlement typically represents a[...]
The Financial Industry Regulatory Authority Inc., has issued a Notice to Members, in which it reminds brokerage firms of their obligations to investors when communication[...]
The time is ripe for Apple REIT investors to strongly consider filing individual arbitration claims. David Lerner Associates Inc. (“David Lerner Associates”) recently won the[...]
RBC Capital Markets, a Canadian investment bank, has agreed to pay $450,000 for failing to review accounts held by James Hankins, Jr. Hankins used the[...]