Municipal Securities

Feb 10th, 2017

First Southern Securities Busted for Bad Municipal Bond Sales

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 […]
Feb 9th, 2017

Dougherty & Company Censured for Unauthorized, Unsuitable Trades in Elderly Investors’ Accounts

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 […]
Nov 10th, 2016

Investors Capital Corp. in Trouble. Again.

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, […]
Oct 8th, 2015

One More Reason Why Municipal Bonds Are Not As Safe An Investment As You Thought

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 […]
Sep 28th, 2015

Edward Jones Makes Millions Overcharging Investors For Municipal Bonds

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 […]
Sep 3rd, 2015

OFS Securities Inc. Client Loses $600,000 from Ill Advised Lehman-backed Investment

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 […]