News & Stories
Thrivent – Variable Annuity Investigation
Salas Wang LLC is investigating Thrivent Investment Management Inc. for unsuitable Variable Annuity replacements and GLWB rider recommendations in Illinois.
Read more →
Oppenheimer Investigation
Salas Wang LLC is investigating Oppenheimer & Co. for failing to monitor holding periods for non-traditional ETFs, causing substantial retail customer losses.
Read more →
LPL Hit with Fines over Non-Traded REIT Sales
LPL Financial agreed to pay $1.425 million in civil penalties for selling non-traded REITs in excess of prospectus standards and state concentration limits.
Read more →
Alton Securities Group Investigation
Salas Wang LLC is investigating Alton Securities Group Inc. for recommending unsuitable leveraged ETFs and Class A mutual fund shares to clients.
Read more →Marcus DeBaise Investigation
If you suffered investment losses with stockbroker Marcus DeBaise of Glastonbury, CT, you may be able to recover losses through FINRA arbitration.
Read more →Rainmaker Securities Investigation
Salas Wang LLC is investigating Rainmaker Securities LLC for FINRA violations related to unregistered private placement securities offerings.
Read more →First American Securities Inc. Investigation
Salas Wang LLC is launching an investigation into First American Securities Inc. regarding unsuitable Non-Traditional ETF recommendations from 2011–2012.
Read more →
Employment Based Immigration
An overview of employment-based immigration pathways including H-1B, TN, L-1, E-1/E-2 visas, and labor certifications for businesses and individuals.
Read more →