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Recent Posts in Leverage Category

FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations

FINRA fined FSC Securities Corporation $100,000 and ordered nearly $500,000 in restitution after finding that FSC failed to establish and maintain adequate supervisory systems regarding its ...
Continue reading "FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations" »

Morgan Stanley to Pay $8 Million Penalty in Unsuitable Single Inverse ETF Sales, Customer Losses

Morgan Stanley Smith Barney settled an SEC complaint for $8 million in fines and admitted wrongdoing, including that it improperly sold single-inverse exchange-traded funds (ETFs) without implementing ...
Continue reading "Morgan Stanley to Pay $8 Million Penalty in Unsuitable Single Inverse ETF Sales, Customer Losses" »

Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts

FINRA fined Merrill Lynch $6.25 million and ordered the firm to pay an additional $780,000—totaling over $7 million in penalties—for inadequate supervision of its customer's use of ...
Continue reading "Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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