Legal Blog
Get Your Free Consultation
Practice Areas
Recent Posts
Did you or a family member invest in InPoint Commercial Real Estate Income, Inc. (“InPoint”) based on the recommendation of your stockbroker or financial advisor?
InPoint Commercial Real Estate Income, Inc. (“InPoint”) is a nontraded REIT that was formed in 2016 by Inland Real Estate Investment Corporation. InPoint focuses on investing in commercial real estate (CRE) securities and debt. By 2019, InPoint had raised...
read moreFINRA suspends Mason Wayne Gann (CRD #4030936, Dallas, Texas)
April 11, 2018 – An AWC was issued in which Gann was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 20 business days. Without admitting or denying the findings, Gann consented to the sanctions and to the...
FINRA suspends Wolf Alexander Popper (CRD #365826, New York, New York)
April 10, 2018 – An AWC was issued in which Popper was fined $5,000 and suspended from association with any FINRA member in all capacities for 30 days. Without admitting or denying the findings, Popper consented to the sanctions and to the entry of findings that he...
FINRA suspends Philip Marcus Winstead (CRD #2331690, Cary, North Carolina)
April 9, 2018 – An AWC was issued in which Winstead was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings, Winstead consented to the sanctions and to the...
FINRA suspends Brent Van Lott (CRD #1559744, Orem, Utah)
April 9, 2018 – An Offer of Settlement was issued in which Lott was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in all capacities for four months. Without admitting or denying the allegations, Lott consented to the...
FINRA suspends Richard Hunt Crockett (CRD #1209667, Huntington, New York)
April 3, 2018 – An AWC was issued in which Crockett was fined $5,000 and suspended from association with any FINRA member in any principal capacity for two months. Without admitting or denying the findings, Crockett consented to the sanctions and to the entry of...
FINRA suspends Jeffery Allen Fanning (CRD #1566859, Cheyenne, Wyoming)
April 2, 2018 – An Offer of Settlement was issued in which Fanning was fined $20,000, suspended from association with any FINRA member in all capacities for six months and immediately following, suspended from association with any FINRA member in any principal...