FINRA SEC Sanctions
3 Cetera Firms to pay $1 Million for Supervisory Issues
FINRA Censures and Fines Cetera for Alleged Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December...
Wedbush Securities- Broker Misconduct, Customer Complaints
The White Law Group reviews the regulatory history of Wedbush Securities. Wedbush Securities, (CRD #877, Los Angeles, CA) headquartered in...
5 Firms Charged with Exchange-Traded Products Violations
The SEC charges 3 RIAs and 2 Broker-dealers with Unsuitable Sales of Complex Exchange-Traded Products According to a press announcement on...
Coastal Equities, Inc. to return $280,000 to Clients
FINRA Sanctions Coastal Equities for Allegations of Failure to Supervise Unsuitable Investments According to a Letter of Acceptance Waiver...
Meyers Associates Fined $700,000
FINRA Sanctions Meyers Associates again for Supervisory Issues According to The Financial Industry Regulatory Authority Inc., the regulator...
Former Arizona Financial Advisor Bart Ellis Pleads Guilty
Bart Ellis Accused of Defrauding Clients for more than $1.1 Million Have you suffered losses investing with former financial advisor, Bart...
