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Aegis Broker Alan Z. Appelbaum Barred after Allegations of Unsuitable Structured Products Sales
FINRA Reportedly Bars Alan Appelbaum, of Aegis, after SEC charges him with Unsuitable, Unauthorized Trades According to a Letter of...
FINRA Sanctions IBN Financial Services for Supervisory Failures
IBN Financial Services Censured and Fined $30,000 for Supervisory Failures According to a Letter of Acceptance, Waiver and Consent, the...
SEC Charges Four Firms with Municipal Bond Disclosure Failures
SEC says Oppenheimer, BNY Mellon Capital Markets, TD Securities (USA) and Jefferies LLC Failed to Comply with Municipal bond Offering...
Reverse Churning: When your Broker Collects a Fee for doing Nothing
Investor alert: Fee-based Accounts may not be in your Best Interest Did your broker transition you from a commission-based to fee-based...
Waddell & Reed to Pay $776K Over ‘Reverse Churning’ Charges
SEC Hits Waddell & Reed for Overcharging Clients in Wrap Fee Programs According to the Securities and Exchange Commission this...
Morgan Stanley to pay $35M to Settle SEC Charges over Customer Information
SEC says Morgan Stanley Failed to Protect Customers’ Personal Information According to a press release on Sept. 20, 2022, the Securities...
