Israels & Neuman PLC Investigation Continues:  LPL FINANCIAL TO PAY $10 MILLION TO SETTLE ALLEGATIONS   We are currently investigating allegations made against LPL Financial, a Boston, Massachusetts-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against LPL financial, making numerous allegations regarding its conduct, including failures to supervise the …
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LPL Financial, ETFs, and Non-traded REITs   We are currently investigating allegations made against LPL Financial, a Boston, Massachusetts-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against LPL financial, making numerous allegations regarding its conduct, including failures to supervise the sales of non-traditional ETFs (inverse or leveraged ETFs), variable …
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Douglas W. Finlay Jr. and Cadaret Grant & Company Have you lost money with financial advisor Douglas W. Finlay Jr.?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Douglas Finlay, Jr., from Point Pleasant, New Jersey.  FINRA alleges that Finlay concentrated a customer’s portfolio in illiquid, non-traded REITs (real estate …
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LPL Financial and Non-traded REITs   Have you lost money investing in non-traded REITs through LPL Financial? We are currently investigating allegations made against LPL Financial, a Boston, Massachusetts-based securities brokerage firm.  The New Hampshire Bureau of Securities Regulation fined LPL Financial $1.2 million for the sales of non-traded REITs (or real estate investment trusts) …
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