Clients of First Southern Securities of Alpharetta, Georgia may have paid too much for their municipal bonds, or get paid too little if they ever sell […]
The Financial Industry Regulatory Authority (FINRA) censured and fined Dougherty & Company after one of its “top producers” allegedly ripped off elderly investors by executing hundreds […]
The bad news for Investors Capital Corp., an independent brokerage firm, just keeps coming. Recently one of its financial advisors, Cyrus Lamont Hancock of Marietta, Georgia, […]
The municipal bond market is a popular piece of many retirement portfolios, but it is riskier than many retirees suppose. Municipal bonds are bonds issued by […]
According to a recent SEC order, Edward Jones has been overcharging for municipal bonds, pocketing an extra $4.5 million as a result of its willful securities […]
This July, Financial Industry Regulatory Authority, or FINRA, reported a recent closure of a case involving the gauche activities of OFS Securities Inc. from 2011 through […]