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Tag: Penson Financial Services investment losses

Blog, Securities Fraud Articles

September 30, 2010

Penson Financial Services and Pinnacle Capital Markets fined by FINRA.

In February 2010, the Financial Industry Regulatory Authority (FINRA) announced that it had fined Penson Financial Services, a Dallas-based...

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Blog, Securities Fraud Articles

September 17, 2009 • 2 Comments

Penson Financial Services fined by FINRA for securities violations

FINRA recently announced that Penson Financial Services, Inc. has been fined $38,000 and ordered to pay $22,663, plus interest, in...

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