alleged failed real estate investment

  • FINRA Rules for SECU in Estate Case

    After hearing both sides, a Financial Industry Regulatory Authority panel recently denied all claims made by the estate that was seeking more than $2 million against an investment adviser that worked for a broker-dealer acquired by SECU Brokerage Services Inc.

  • FINRA Clears SECU Brokerage

    After weighing the evidence, a Financial Industry Regulatory Authority arbitration panel recently denied all claims against SECU Brokerage Services Inc. in an estate dispute.

  • FINRA Weeds Through Brokerage Case With CU Ties

    The Financial Industry Regulatory Authority may have a hard time deciding whether a defunct credit union-owned brokerage firm

  • Eight Hearings Scheduled for SECU Brokerage Case

    On Feb. 21, a Financial Industry Regulatory Authority panel will hear the matter between SECU Brokerage, LPL Financial Corp. an investment adviser and a trust that claims its deceased client suffered losses after an alleged failed real estate investment.

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