Salas Wang LLC is currently investigating sales of certain variable annuities. Recently, the Illinois Secretary of State’s securities department issued a notice of hearing to Thrivent Investment Management Inc. In…
Salas Wang LLC is launching an investigation into Oppenheimer & Co. relating to Non-Traditional Exchange Traded Funds (ETFs). According to a recent Acceptance Waiver and Consent (AWC) with FINRA:
The firm…
LPL has been hit with fines regarding it sales of non-traded REITs. According to the North American Securities Adminstrators Association:
The investigation concluded that LPL, through its agents, sold non-traded REITS…
Salas Wang LLC is launching an investigation into Alton Securities Group Inc. for recommending unsuitable investments to clients. Specifically, a FINRA disciplinary action recently disciplined one of Alton’s supervisors for…
If you have suffered investment losses with stockbroker Marcus Debaise of Glastonbury, Connecticut, you may be able to recover some of those losses through FINRA arbitration.
According to FINRA records,…
Salas Wang LLC is launching an investigation into Rainmaker Securities LLC. According to a recent disciplinary action by the Financial Industry Regulatory Authority (FINRA), Rainmaker Securities:
During the 2011 Period,…
Salas Wang LLC is launching an investigation into First American Securities Inc. According to a recent Acceptance Waiver and Consent (AWC) with FINRA:
First American allowed its representatives to recommend and…
Labor Certification
A foreign national and his or her immediate family may become Legal Permanent Residents of the United States if a U.S. Company petitions for a Labor Certification for…
