Recent Posts in Penny Stocks Category
Posted on Mar 24, 2013 By Michael Edmiston
According to Nathaniel Popper of The New York Times, investment firm LPL Financial has ratcheted up a sequence of problems with multiple securities regulators LPL is not unique nor alone in its ...
Continue reading "LPL Financial Firm Under Fire and On Radar with Several Securities Regulators" »
Posted on Feb 23, 2013 By Michael Edmiston
FINRA suspended broker Gregory Evan Goldstein of Southern California after Goldstein failed to respond to FINRA requests for information concerning a consulting business he operates. Following an ...
Continue reading "Broker Gregory Evan Goldstein Fails to Respond to FINRA Requests, Earns Suspension" »
Posted on Aug 1, 2012 By Michael Edmiston
The Financial Industry Regulatory Authority (FINRA) censured Newport Coast Securities, Inc. of Irvine, California, fining the firm $100,000 for inadequate anti-money laundering systems and monitoring ...
Continue reading "Newport Coast Securities, Inc. Fined $100,000 for Poor Anti-Money Laundering Procedures, Branch Office Manager who Served on Board of Pink Sheet Stock Traded Within the Firm" »
Posted on Jun 24, 2012 By Michael Edmiston
The Financial Industry and Regulatory Authority (FINRA) fined Freedom Investors Corp. $30,000, censuring the firm for improper policies and systems that resulted in penny stock recommendations that ...
Continue reading "Freedom Investors Corp. Fined & Brokers Suspended for Unsuitable Penny Stock Recommendations" »