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Tag: FINRA fine

Blog, Securities Fraud Articles

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....

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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Blog, Securities Fraud Articles

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...

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