Many investors may not be aware of the fact that in the brokerage industry when a stock broker moves from one broker dealer to another, unless he is a poor…
read moreA FINRA arbitration panel ordered MML Investors Services, a MassMutual company, and Karen Michel, a former MML branch manager to pay a California investor $1.1 million for losses suffered on…
read moreRecent press reports that LPL Financial, already beleaguered with investigations by securities regulators from Illinois, Montana, Oregon, Pennsylvania and Massachusetts and an onslaught of investor suits seeking recovery of losses…
read moreThe North American Securities Administrators Association (NASAA) was formed in 1919 and is comprised of the state securities regulators. NASAA has issued a warning to investors regarding oil & gas…
read moreNobles & Richards, Inc. is a broker dealer located in Plano, TX that sells Oil and Gas private placements and limited partnerships. The company was formed in 2007 and its…
read moreThe New York Times today reported that LPL Financial, an independent broker/dealer with over 13,000 brokers, 6,500 offices and 4.3 million customers is having more and more problems with securities…
read moreRex Securities Law is investigating the recovery of losses for investors who purchased Tenant in Common (TIC) investments sponsored by Direct Invest, a company headquartered in Boston and run by…
read moreMarch 2013-FINRA Case # 12-01157 A couple from Minnesota was awarded $290,000 against David Theis, a broker for QA3 Financial Corp., following an arbitration alleging failure to supervise, misrepresentation, negligence,…
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