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Tag: FINRA fine
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...
The Firm of Cantor Fitzgerald & Co. Fined by FINRA
Cantor Fitzgerald & Co. (CRD #134, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...
