FINRA SEC Sanctions
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...
FINRA Sues Berthel Fisher and Former Advisor
FINRA Sues Berthel Fisher and Former Advisor According to reports, FINRA is charging Berthel Fisher with failure to supervise sales of unit...
Douglas Simanski Barred from Securities Industry
According to FINRA, Douglas P. Simanski (CRD #2606998, Lilly, Pennsylvania) submitted an AWC in which he was barred from association with...
