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Did your financial advisor invest your money in Texas CKLV LLC, SRS Holdings LLC, Texas Wide Bore LLC, SRS Management LLC, or ONCO Group LLC?
Recently, a group of investors won a $5.7 million judgment following arbitration over a failed cancer treatment center involving these companies: Texas CKLV LLC, SRS Holdings LLC, Texas Wide Bore LLC, SRS Management LLC, or ONCO Group LLC . The investors in that case...
read moreFINRA bars William George Brunner (CRD #2610348, Huntington, New York)
William George Brunner (CRD #2610348, Huntington, New York) April 6, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Brunner was barred from association with any FINRA member in all capacities. Without admitting or denying the findings,...
FINRA bars Laura Ortega Shean (CRD #2628756, Medford, Oregon)
Laura Ortega Shean (CRD #2628756, Medford, Oregon) April 3, 2018 –A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Shean was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Shean consented...
Does FINRA Cover Bitcoin and Cryptocurrencies?
Whether you purchased cryptocurrency like Bitcoin of Ethereum from a trade or as part of an initial coin offering (ICO), it is important to understand that these are investments. In many ways, they are very similar to stocks and other securities, since they can be...
How Long Does FINRA Arbitration Take?
Arbitration through FINRA can help you recover lost finances if you were misled or taken advantage of by a stockbroker or securities broker-dealer. This process is similar to filing a case in court, but FINRA’s process is often faster and uses rules and professional...
Do Stockbrokers Have to Notify You of Every Trade?
When you work with a stockbroker, it may seem like you put your money in their care and hope for the best. In reality, you have a lot of control over your investment portfolio, and your stockbroker needs to inform you of the work they do on your account and listen to...
Tips to Protect New Investors from Securities Fraud Scams
Fraud and investment scams are always a risk in the financial field. There are specific, problematic scams like Ponzi schemes, but there are more subtle scams and fraudulent practices that may cause financial distress even for savvy investors. New investors without...