Tag: FINRA fine
Janney Montgomery Scott: Regulatory History and Sales Practices
The White Law Group reviews the regulatory history of Janney Montgomery Scott. Established in 1832, Janney Montgomery Scott is a...
Wells Fargo Fined $2 Million by FINRA
The Financial Industry Regulatory Authority (FINRA) has announced that it has levied a $2 million fine on Wells Fargo Investments, LLC....
Federal Appeals Court Rules against FINRA on Fine Collection
Multiple outlets are reporting that a Manhattan federal appeals court has ruled that FINRA is not able to pursue fines by taking their...
David Lerner Associates Investigated by FINRA
According to the Investment News, David Lerner Associates Inc. has been accused of targeting unsophisticated and elderly customers while...
B.C. Ziegler and Company fined by FINRA
B.C. Ziegler and Company (CRD #61, Chicago, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured...
Workman Securities Corporation Sanctioned by FINRA
Workman Securities Corporation (CRD #31898, Eden Prairie, Minnesota) recently submitted a Letter of Acceptance, Waiver and Consent in which...
