Category Archives: DBSI

FINRA Sanctions Eight Firms and 10 Individuals for Selling Interests in Troubled Private Placements, Including Medical Capital, Provident Royalties and DBSI, Without Conducting a Reasonable Investigation

Posted on November 29, 2011 by Klayman & Toskes

More than $3.2 Million in Restitution Ordered to Affected Customers The Financial Industry Regulatory Authority (“FINRA”) announced today that it has sanctioned an additional eight firms and 10 individuals, and ordered restitution totaling more than $3.2 million, for selling interests … Continue reading →

Posted in DBSI, Enforcement, FINRA, Medical Capital, Provident Royalties/Shale Royalties | Leave a comment