Non-Traded REITs – Great for Brokers, Not for Clients
FINRA, the Financial Industry Regulatory Authority, filed a complaint against VFG Securities, Inc., a small broker-dealer that allegedly generated almost…
Read MoreMonth: March 2016
Transitioning Broker Alert – FINRA Adopts New Comp Disclosure Rule
The Securities and Exchange Commission approved last week a new rule proposed by FINRA, the Financial Industry Regulatory Authority, which…
Read MoreSEC Fiduciary Rule Proposal to Potentially Differ from DOL’s
Calling all financial advisors – time to grab your compasses and brush up on your map-reading skills. […]
Read MoreAsh Narayan and RGT Capital Management, Ltd. – Shustak Reynolds & Partners is Investigating Claims
RGT Wealth Advisors, a division of RGT Capital Management, Ltd., with offices in Irvine, California and Texas, terminated Ash Narayan,…
Read MoreTexas Lawyer Sentenced to Jail for Aiding Stock Fraudster
An Austin,Texas attorney was sentenced to 17 years in Federal prison for harboring and concealing a client who was a…
Read MoreFINRA Investigations Under Rule 8210
It is every registered person’s nightmare. You receive a letter from a FINRA office notifying you that you are the…
Read MoreProposed FINRA Rule Requires Enhanced Fee Disclosures in Fixed Income Investments
In late February, the Financial Industry Regulatory Authority (FINRA) approved a new rule designed to help investors understand the transaction…
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