Legal Blog
Get Your Free Consultation
Practice Areas
Recent Posts
Concerned about your investment in American Realty Capital Trust V?
Have you lost money due to your purchase of American Realty Capital Trust V or are you unable to sell your stake in this investment? American Realty Capital Trust V is an illiquid and complex ‘Private Placement’ investment. The term Private Placement is a catch-all...
read moreFINRA suspends Michael Anthony McGregor (CRD #2778819, Staten Island, New York)
March 14, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which McGregor was fined $5,000, suspended from association with any FINRA member in all capacities for four months, and ordered to pay $14,266, plus interest, in restitution to a...
FINRA suspends Martin Earl Brooks (CRD #4507464, Lee’s Summit, Missouri)
March 16, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Brooks was fined $5,000 and suspended from association with any FINRA member in all capacities for 15 business days. Without admitting or denying the findings, Brooks consented to...
FINRA suspends Michael Scott Androulakis (CRD #2793638, Staten Island, New York)
March 20, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Androulakis was fined $5,000, suspended from association with any FINRA member in all capacities for three months and required to attend and satisfactorily complete 10 hours of...
FINRA suspends Craig Dean Blattner (CRD #1590301, Longwood, Florida)
March 20, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Blattner was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 15 business days. Without admitting or denying the...
FINRA suspends Phillip Paul Tibbetts (CRD #6664181, Upland, California)
March 22, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Tibbetts 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...
FINRA suspends Frank Bazan (CRD #5593113, Houston, Texas)
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Bazan was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in all capacities for seven months. Without admitting or denying the findings,...