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Corporate Property Associates 18 – Global Incorporated (CPA:18 Global)
Have you lost money due to your purchase of shares in Corporate Property Associates 18 – Global Incorporated (CPA:18 Global) or are you unable to sell your stake in this investment? CPA:18 Global is a non-traded REIT that, per its SEC filings, “invest[s] primarily in...
read moreFINRA suspends Craig Dean Blattner (CRD #1590301, Longwood, Florida)
March 20, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Blattner was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 15 business days. Without admitting or denying the...
FINRA suspends Phillip Paul Tibbetts (CRD #6664181, Upland, California)
March 22, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Tibbetts was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 20 business days. Without admitting or denying the...
FINRA suspends Frank Bazan (CRD #5593113, Houston, Texas)
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Bazan was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in all capacities for seven months. Without admitting or denying the findings,...
FINRA suspends Dennis Ernest Beeby (CRD #1879834, San Diego, California)
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Beeby was assessed a deferred fine of $10,000, suspended from association with any FINRA member in all capacities for eight months and ordered to pay deferred disgorgement of...
FINRA suspends Paul Kreindler (CRD #275334, New York, New York)
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Kreindler was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings,...
FINRA suspends Rahim Shah (CRD #6482164, Plano, Texas)
March 23, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Shah was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for seven months. Without admitting or denying the findings, Shah...