February 15, 2012
Salas Wang LLC is investigating claims against Peregrine Financial and its introducing  brokers, Clash Financial LLC , Oxford Trading Group, California Capital Trading Group LLC, and Patriot Financial Markets LLC.  The National Futures Association fined Peregrine because, according to the NFA’s complaint, its introducing brokers: routinely recommended trades and trading strategies that maximized commissions without regard for the best interests […]
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January 24, 2012
Another sad story about a stockbroker taking advantage of an elderly client. Â According to Forbes, Ralph Edward Thomas Jr. of Baltimore misused his elderly client’s funds in a number of ways, including: Between June 2006 and May 2009, without permission, and through forgery, Thomas initiated three mortgages in the name of KL on her personal […]
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