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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 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...
Can You Appeal a FINRA Arbitration Decision?
FINRA arbitration is designed to help investors get compensation for the financial harm they suffered from financial negligence, trade churning, or other harmful investment or sales practices. Sometimes, evidentiary issues or problems with legal interpretations might...
FINRA bars Craig Eugene Walker (CRD #5427440, Madison, Mississippi)
Craig Eugene Walker (CRD #5427440, Madison, Mississippi) April 30, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Walker was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Walker...
FINRA bars Vincent Santoro (CRD #3006826, Lake Mary, Florida)
Vincent Santoro (CRD #3006826, Lake Mary, Florida) April 30, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Santoro was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Santoro...
FINRA bars Richard Gomez (CRD #4727721, Jackson Heights, New York)
Richard Gomez (CRD #4727721, Jackson Heights, New York) April 30, 2018 – A National Adjudicatory Council (NAC) decision became final in which Gomez was barred from association with any FINRA member in all capacities. The NAC modified the sanctions and findings imposed...
FINRA bars Kristen L. Lewis (CRD #6577989, Marshall, Michigan)
Kristen L. Lewis (CRD #6577989, Marshall, Michigan) April 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Lewis was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Lewis...