Tag: unethical practices
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....
Leveraged and Inverse ETF Investment Losses
According to the North American Securities Administrators Association (NASAA) “Exchange–traded funds (ETFs) have grown increasingly...
Recovery of Van Zandt Agency Investment Losses through FINRA Arbitration
Have you suffered investment losses due to the purchase of promissory notes through the Van Zandt Agency from Robert Henry Van Zandt? If...
Investors Encouraged to Research Financial Advisers
The USA Today recently ran a story in which they gave some tips on diligently selecting a financial advisor and encouraged investors to...
Brokerage Firms Performed Poor Due Diligence
Expert Says Some Brokerage Firms Faild to perform Due Diligence on private placement investments. A recent article by Bruce Kelly of the...
Securian Financial Services Responsible for $2.4 million
Reuters is reporting that a securities arbitration panel ruled that “Securian Financial Services Inc must pay an investor $2.4 million...
