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Articles Posted in Plantinum Wealth Partners

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LaSalle St. Securities Sanctioned Over Private Placements Part II

This article continues the examination of the findings by The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), concerning LaSalle St. Securities, LLC (LaSalle) private placement deficiencies.  FINRA also found that LaSalle served as the placement agent for a 2009 private placement offering by Revitalight…

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LaSalle St. Securities Fined Over Private Placement Sale Related Misconduct Part I

The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm LaSalle St. Securities, LLC (LaSalle) over allegations that staff found certain deficiencies with respect to: 1) a private placement offering involving Seat Exchange Corporation where LaSalle failed to exercise adequate due diligence before…

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