Author: The White Law Group
J.P. Morgan Securities Censured & Fined $1.1 Million
FINRA Sanctions J.P. Morgan Securities for Failure to Disclose Broker Misconduct According to a press announcement, on September 16, 2019,...
Cetera to pay $185,000 to settle SEC charges
Cetera Investment Advisers Sanctioned for Solicitation Disclosure Violations Cetera Investment Advisers LLC will reportedly pay a penalty...
Marty Batstone Barred by FINRA
Financial Advisor Marty Batstone, Independent Financial Group in San Diego, CA Are you concerned about investments with Marty Batstone in...
