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WARNING! Impending Investigation: CAPITAL SECURITIES MANAGEMENT and REVERSE CONVERTIBLES

Tag Archives: Minneapolis

27
Oct

WARNING! Impending Investigation: CAPITAL SECURITIES MANAGEMENT and REVERSE CONVERTIBLES

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WARNING!  Impending Investigation:  CAPITAL SECURITIES MANAGEMENT and REVERSE CONVERTIBLES

Capital Securities Management, Inc. and Reverse Convertibles   We are currently investigating allegations made against Capital Securities Management, Inc., a Minneapolis, Minnesota-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Capital Securities Management, alleging that it failed to reasonably supervise the sales of reverse convertibles, among several other allegations.  ...

29
Dec

WARNING! Impending Investigation–FELTL & COMPANY and ETFs

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Feltl & Company and ETFs   We are currently investigating allegations made against Feltl & Company, a Minneapolis, Minnesota-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Feltl & Company, alleging that Feltl failed to establish and maintain an adequate supervisory system regarding leveraged and inverse ETFs.  Feltl & ...

15
Oct

WARNING! Impending Investigation–DAVID TYSK and AMERIPRISE FINANCIAL SERVICES

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David Tysk and Ameriprise Financial Services We are currently investigating claims against David Tysk and Ameriprise Financial Services.  David Tysk is a Minneapolis, Minnesota-based financial advisor for Ameriprise.  FINRA (the Financial Industry Regulatory Authority) recently fined Tysk $50,000, as well as Ameriprise for $100,000, for altering documents that were part of a FINRA arbitration proceeding. ...

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