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Tag: Unit Investment Trusts

Blog, Securities Fraud

Chase to pay $3.6 Million in Customer Reimbursements and FINRA Fines

According to the Financial Industry Regulatory Authority (FINRA) they have fined Chase Investment Services $1.7 million and ordered them to...

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Blog, Securities Fraud

Morgan Stanley fined by FINRA relating to UIT sales

Morgan Stanley & Co. Incorporated (CRD #8209, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in...

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Blog, Securities Fraud

Claymore Securities Strategic Income Series 13 UIT

We are currently investigating a securities fraud claim on behalf of an 85 year retiree regarding an unsuitable Unit Investment Trust...

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