Gonser Law is investigating Financial Industry Regulatory (FINRA) sales practice violations related to the management of client brokerage accounts with concentrated positions in energy company stocks often collateralized by margin loans.  [Read more…]

LPL settled charged in connection with the offer and sale of Non-Traded REIT’s.  The investigation stemmed from the complaint filed by the Commonwealth of Massachusetts Securities Division into similar non-traded REIT sales practices with other broker-dealers. [Read more…]