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FINRA Case Load is Down but Fines are Up

February 20, 2015

Awards & Settlements

$5,500,000.00

Recovery for losses related to research provided by an investment banking firm.

4,300,000.00

Recovery for losses related to Puerto Rico Bonds and Closed-End Bond Funds.

$3,300,000.00

Recovery for losses related to the recommendation and sale of Non-Conforming Investments (REITs and BDCs) by a National Independent Broker/Dealer

$1,700,000.00

Recovery for losses sustained by client of an RIA.

$1,429,000.00

Recovery for losses related to a Future Income Payment LLC (FIP) program

$1,200,000.00

Recovery for losses related to alternative investments (REITs, Direct Private Placements and Promissory Notes) sold by a regional Broker Dealer.

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Colling Gilbert Wright
801 N. Orange Avenue #810
Orlando, Florida 32801

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