Alternative Investments

Posts In Alternative Investments

Antoine Nabih Souma Under Investigation After JP Morgan Pays $14 Million to Settle Dispute Apr 30
A preliminary determination by FINRA recommends disciplinary action be brought against Los ...
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Adviser Who Instructed Elderly Customers to Sign Blank Documents and Lied on Forms to Effect Investments in High-Risk, High-Fee Products Sentenced to 17 Years in Prison Apr 01
A Department of Justice press release announcing ex-financial adviser Anthony Diaz's 17-year prison ...
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Broker-Dealer's Due Diligence Duties for Private Placements Require Research and Supervision Mar 31
Over the past year, FINRA reminded broker-dealers of their responsibilities when selling private ...
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SEC Fines Royal Alliance Associates Over Volatility Linked ETP Failures, Including iPath S&P 500 VIX ETN 'VXX' Nov 13
Citing widespread losses by advisory clients who held the iPath S&P 500 VIX Short-Term Futures ETN ...
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Voya Broker James Flynn Racks Up Suitability Complaints, Reportedly Flees to Caribbean Sep 19
Barred by FINRA in 2018, former Voya Financial Advisors broker James Travis Flynn aka Jim Flynn's ...
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FINRA: LPL Financial Unsuitably Sold Elderly Clients Risky REITs After Broker Lied About Customers' Net Worth May 10
A recent FINRA report found that a broker with LPL Financial sold several elderly customers risky ...
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