FINRA SEC Sanctions
SEC Hits 26 Firms with $390 Million in Fines
26 Firms Fined for Failure to Retain Texts and Chats In a now-common scenario, the SEC has reportedly fined 26 broker-dealers, investment...
FlowPoint Partners Charged with Fiduciary Breaches
SEC Charges Florida Firm with Fiduciary Breaches Linked to Private Funds The SEC has reportedly charged FlowPoint Partners, a Florida-based...
CFP Board Sanctions Financial Planners: August 2024
CFP Board Announces Sanctions on Certified Financial Planners The Certified Financial Planner Board of Standards, Inc. (CFP Board), a...
Janney Montgomery Scott: Regulatory History and Sales Practices
The White Law Group reviews the regulatory history of Janney Montgomery Scott. Established in 1832, Janney Montgomery Scott is a...
Chicago Advisor David Wells Allegedly Defrauded Clients
SEC Bars David Wells for Allegedly using Senior Clients’ Cash for Secret Options Trading The SEC has reportedly barred David Sheldon...
Gino Rahman, Merrill Lynch, Barred by FINRA
FINRA Bars Gino Rahman, Merrill Lynch Broker, after Allegations According to public records, the Financial Industry Regulatory Authority...
