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Did you or a family member invest in InPoint Commercial Real Estate Income, Inc. (“InPoint”) based on the recommendation of your stockbroker or financial advisor?
InPoint Commercial Real Estate Income, Inc. (“InPoint”) is a nontraded REIT that was formed in 2016 by Inland Real Estate Investment Corporation. InPoint focuses on investing in commercial real estate (CRE) securities and debt. By 2019, InPoint had raised...
read moreFINRA suspends Brent Van Lott (CRD #1559744, Orem, Utah)
April 9, 2018 – An Offer of Settlement was issued in which Lott was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in all capacities for four months. Without admitting or denying the allegations, Lott consented to the...
FINRA suspends Richard Hunt Crockett (CRD #1209667, Huntington, New York)
April 3, 2018 – An AWC was issued in which Crockett was fined $5,000 and suspended from association with any FINRA member in any principal capacity for two months. Without admitting or denying the findings, Crockett consented to the sanctions and to the entry of...
FINRA suspends Jeffery Allen Fanning (CRD #1566859, Cheyenne, Wyoming)
April 2, 2018 – An Offer of Settlement was issued in which Fanning was fined $20,000, suspended from association with any FINRA member in all capacities for six months and immediately following, suspended from association with any FINRA member in any principal...
Can You Appeal a FINRA Arbitration Decision?
FINRA arbitration is designed to help investors get compensation for the financial harm they suffered from financial negligence, trade churning, or other harmful investment or sales practices. Sometimes, evidentiary issues or problems with legal interpretations might...
FINRA bars Craig Eugene Walker (CRD #5427440, Madison, Mississippi)
Craig Eugene Walker (CRD #5427440, Madison, Mississippi) April 30, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Walker was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Walker...
FINRA bars Vincent Santoro (CRD #3006826, Lake Mary, Florida)
Vincent Santoro (CRD #3006826, Lake Mary, Florida) April 30, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Santoro was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Santoro...