Posts In Sandlapper Securities

Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts Jun 27
FINRA barred former Independent Financial Group and Sandlapper Securities, broker Kyusun Kim for ...
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Sandlapper Securities Accused of Charging $8 Million in Fraudulent Markups for Saltwater Disposal Well Private Placements Oct 03
FINRA filed a complaint against Sandlapper Securities, LLC, as well as brokers Trevor Lee Gordon and ...
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SEC Charges Brokers Michael Horowitz, Moshe Marc Cohen with $80 Million Variable Annuity Fraud
SEC Fines Morgan Stanley $5 Million Over Short Sale Violations in Swaps Business
Unsuitably Risky SPACs, "A License to Rip Investors Off," Rile SEC and FINRA Regulators
Pershing LLC Fined $3 Million for Supervisory, Customer Protection Violations
San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations

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