Tag: failure to supervise
Securian Financial Services Overview
The White Law Group reviews the regulatory history of Securian Financial Services. Securian Financial Services...
LPL Financial Overview
The White Law Group reviews the regulatory history of LPL Financial LLC. LPL Financial LLC (CRD#: 6413/SEC#: 801-10970,8-17668) the...
Merrill Lynch Sanctioned for Cold Calling Violations
Two Securities Regulators Fine Merrill Lynch $1.4 Million for Cold Calling Violations According to Investment News on May 4, 2023, Merrill...
Regal Securities Inc. Censured and Fined
FINRA Sanctions Regal Securities for Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA), the self-...
RBC Capital Markets Pays $300,000 plus Restitution
FINRA Sanctions RBC Capital Markets for Unsuitable Short-term trading According to public documents this week, the Financial Industry...
Equitable Advisors (AXA Advisors) Regulatory Overview
The White Law Group reviews the regulatory history of Equitable Advisors (AXAAdvisors). Equitable Advisors (formerly AXA advisors)(CRD#:...
