Tag: FINRA fine
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...
FINRA Fines Wells Fargo $1,000,000
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Wells Fargo Advisors, LLC of St. Louis, $1 million...
FINRA Fines Jefferies & Company Over Auction Rate Securities
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Jefferies & Company, Inc. $1.5 million for...
Recovery of Charles Schwab YieldPlus Losses
The White Law Group is investigating claims on behalf of investors that invested in Charles Schwab’s YieldPlus fund. The Financial...
FINRA Fines Firms For Overstating Trade Volume
In 2008, FINRA announced that it has fined 19 broker-dealers a total of $2.8 million for substantially overstating their advertised trade...
