Stealing from the elderly It doesn't get much worse than this. The Arkansas Securities Department issued a cease and desist order to R ... whether Stewart's broker-dealer agent and investment adviser license should be revoked. Hmm [more...]

Date: 2009-01-07 22:29:39

Blog posts (4) | Videos (3)
 

MetLife Registered Rep Settles Fraud Charges

The SEC settled administrative charges against Mark E. Salyer, a registered representative for MetLife Securities, Inc ... broker, dealer, or investment adviser. Salyer consented to the issuance of the Order without admitting [more...]

Date: 2009-01-12 21:00:27

SEC Chair Calls For More Regulation

It is a bit late, but SEC chair Christopher Cox has discovered that our securities markets are under-regulated and announced this in an election day ... of broker-dealers under the Securities Exchange Act of 1934 and that of investment advisers under [more...]

Date: 2008-11-05 21:46:33

Housing recovery at least 1 year off, Insider Q&A told

Shopoff William Shopoff, CEO of the land-investment firm bearing his name, is a real estate man first and foremost ... we have added personnel in our broker dealer operation due to the launch of our public company Shopoff [more...]

Date: 2008-10-04 07:33:36

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