by Jeff Pederson | Sep 16, 2021 | Uncategorized
On July 13, 2021, NEXT Financial entered into a regulatory settlement for excessive trading. In the settlement, the regulator censured, fined $750,000 and required NEXT to certify that it has implemented supervisory systems and procedures reasonably designed to...
by Jeff Pederson | Mar 18, 2021 | Uncategorized
John Krohn of Principal Securities located in West Des Moines, Iowa is accused of illegally “selling away” investments. If you have suffered losses with Mr. Krohn call 303-300-5022 for a free and confidential initial consultation. Selling away is the...
by Jeff Pederson | Apr 1, 2020 | Uncategorized
If you were an investor of Gerald Dewes, call 303-300-5022 to discuss your legal rights as to loss recovery. All initial consultations are with an attorney and are free and confidential. Gerald Dewes’ employer, Cadaret,Grant & Co., terminated his employment...
by Jeff Pederson | Mar 11, 2020 | Uncategorized
If you suffered losses in SSL, Sasol Spon ADR, and were not a speculative investor you may be entitled to loss recovery. Please call the Law Offices of Jeffrey Pederson at 303-300-5022 for a free and confidential consultation. From its high in April 2019 of over $34...
by Jeff Pederson | Oct 21, 2019 | Uncategorized
If you were an investor with Dennis Mehringer call 303-300-5022 for a free and confidential consultation with a private attorney. On October 18, 2019, the Financial Industry Regulatory Authority (FINRA) barred Mr. Mehringer from the securities industry when he failed...
Recent Comments