Tag Archive for: Broker Check

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FINRA and Due Diligence: On-Site Checks Are Indispendible

Due diligence is all about following up on red flags, but if you don’t find them, there’s nothing on which to follow up. Thus, our tireless refrain: turn over every piece of public record information you can about a person, and don’t…
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North Carolina Man Sentenced to 15 to 20 Years for Securities Fraud

According to several news reports, Walter Reinhardt of North Carolina, pled guilty to 40 charges of securities fraud, common law forgery and common law uttering in North Carolina yesterday.  From 2005 to 2009, Reinhardt solicited fraudulent…

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