Articles

FINRA has fined UBS and Morgan Stanley for failing to report transactions. Transaction reports affect share prices and can impact investors’ decisions to buy or […]

Shawn Good is the subject of SEC allegations that he operated a Ponzi scheme for nearly a decade while registered with Morgan Stanley. According to […]

National Securities Corporation allegedly deceived their customers when they sold pre-IPO offerings that did not exist. Meanwhile, National Securities Corporation allegedly earned placement fees for […]

Alternative securities like direct participation programs and REITs are extremely risky. Non-traded REITs and DPPs do not publish their share prices on the stock exchange, […]

Kurta Law is representing multiple investors who invested in First Capital REIT. Unfortunately, these clients lost their entire investment after First Capital REIT disappeared from […]

Anti-money laundering laws attempt to curb illicit transactions in the securities industry. Money laundering is one method criminals use to disguise the origins of their […]

To understand the history of the Financial Industry Regulatory Authority (“FINRA”) and the challenges facing investors, we must examine its origins. Before FINRA, there was […]

Investors who have lost money due to their stockbroker’s misconduct or risky investments will inevitably ask: Can I sue my stockbroker? It is not always […]

Secretary of the Commonwealth of Massachusetts William Galvin recently filed a complaint alleging that brokerage Purshe Kaplan Sterling Investments did not adequately supervise its brokers […]

FINRA Rule 4111: Identifying Firms with Fines and Records of Alleged Misconduct The Financial Industry Regulatory Authority (FINRA) is preparing to implement a new rule […]