Month: December 2012
FINRA fines Pruco Securities over mutual fund sales
FINRA recently announced that it has ordered Pruco Securities to pay more than $10.7 million in restitution, plus interest, to customers...
SEC bulletin regarding municipal bond risks.
The Securities and Exchange Commission today issued an Investor Bulletin to help purchasers of municipal bonds better assess the bonds’...
Another Financial Advisor charged with running alleged "Ponzi Scheme"
According to reports, Jason T. Knapp, 29, was recently charged with second-degree grand larceny, a felony, for allegedly stealing $60,000...