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Tag: supervisory procedures

Blog, Securities Fraud

Portfolio Advisors Alliance, Inc. fined by FINRA

Portfolio Advisors Alliance, Inc. (CRD #101680, New York, New York) and Marcelle Long (CRD #2679335, Registered Principal, Atlanta,...

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Blog, Securities Fraud

National Securities Corporation fined by FINRA

National Securities Corporation (CRD #7569, Seattle, Washington) and Matthew G. Portes (CRD #4995542, Registered Principal, Chicago,...

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Blog, Securities Fraud

D. Weckstein & Co., Inc. fined by FINRA

D. Weckstein & Co., Inc. (CRD #20338, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

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Blog, Securities Fraud

Domestic Securities, Inc. fined by FINRA

Domestic Securities, Inc. (CRD #34721, Montvale, New Jersey) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

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Blog, Securities Fraud

BNY Mellon Capital Markets, LLC fined by FINRA

BNY Mellon Capital Markets, LLC (CRD #17454, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

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Blog, Securities Fraud

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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