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Excessive Markups/Markdowns

FINRA Announces April 2013 Disciplinary Actions

FINRA Announces April 2013 Disciplinary Actions 150 150 Rex Securities Law
FINRA Announces April 2013 Disciplinary Actions By Robert H. Rex, Esq. The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. Here are some of the most significant  actions for April 2013. read more

SEC Charges Oppenheimer Advisers For Misleading Investors–Oppenheimer Global Resource Private Equity Fund I

SEC Charges Oppenheimer Advisers For Misleading Investors–Oppenheimer Global Resource Private Equity Fund I 150 150 Rex Securities Law

The Securities and Exchange Commission filed charges against two Oppenheimer & Co. investment advisers for misleading investors about the valuation and performance of a private equity fund, Oppenheimer Global Resource…

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FINRA Announces February 2013 Disciplinary Actions

FINRA Announces February 2013 Disciplinary Actions 150 150 Rex Securities Law

FINRA Announces February 2013 Disciplinary ActionsBy Robert H. Rex, Esq. The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and…

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FINRA Announces December 2012 Disciplinary Actions

FINRA Announces December 2012 Disciplinary Actions 150 150 Rex Securities Law

FINRA Announces December 2012 Disciplinary Actions The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. Here…

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FINRA Hits Lerner for $14 Million Over Apple REIT Ten

FINRA Hits Lerner for $14 Million Over Apple REIT Ten 150 150 Rex Securities Law

On October 22, 2012, the Financial Industry Regulatory Authority ordered David Lerner Associates (DLA) to pay $12 million in restitution to customers who purchased Apple REIT Ten and customers charged…

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FINRA Issues September 2012 Disciplinary Actions

FINRA Issues September 2012 Disciplinary Actions 150 150 Rex Securities Law

FINRA Issues September 2012 Disciplinary Actions The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month.…

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