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Tag: Unit Investment Trust

Wells Fargo to pay nearly $2.7 million for early UIT rollovers, featured by top securities fraud attorneys, the White Law Group 

Blog, Securities Fraud

December 14, 2021

Wells Fargo to pay nearly $2.7 million for early UIT rollovers 

FINRA Sanctions Wells Fargo and four other BDs for excessive sales charges  According to The Financial Industry Regulatory...

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Blog, Securities Fraud

May 18, 2011

Citigroup Global Markets Inc. fined by FINRA

Citigroup Global Markets Inc. (CRD #7059, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

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Blog, Securities Fraud

April 15, 2011

FINRA Arbitration Claim filed Against NEXT Financial

The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim involving...

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Blog, Securities Fraud

October 6, 2010

FINRA Fines Atlanta based broker-dealer SunTrust Investment Services

FINRA recently today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related...

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