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FINRA SEC Sanctions

Blog, 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...

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Blog, FINRA SEC Sanctions

Meyers Associates Fined $700,000

FINRA Sanctions Meyers Associates again for Supervisory Issues According to The Financial Industry Regulatory Authority Inc., the regulator...

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Blog, Broker Investigations, FINRA SEC Sanctions

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...

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Blog, FINRA SEC Sanctions

Securities America to Pay $1.54 million in Customer Restitution

According to the Financial Industry Regulatory Authority (FINRA) between July 1, 2009 and July 1, 2015 Securities America,...

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Blog, FINRA SEC Sanctions

JP Morgan Chase fined by SEC

J.P. Morgan Chase agreed to pay $4 million The Securities and Exchange Commission recently announced that J.P. Morgan’s brokerage...

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Blog, FINRA SEC Sanctions

FINRA Bars Former Caldwell Broker for Churning Customer Accounts

FINRA Issues Punishments for Churning FINRA recently announced that they have permanently barred Richard Adams, a former registered...

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