FINRA SEC Sanctions
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...
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...
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,...
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...
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...
