January

Posts in January, 2017

Citigroup to Pay $18 Million for Overbilling Clients, Misplacing Decades-Worth of Client Contracts Jan 31
After finding that Citigroup Global Markets overbilled clients over a 15-year period, the SEC ...
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New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?" Jan 26
The complex product known as a variable annuity has become a little more complicated with the ...
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Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints Jan 24
FINRA fined Citizens Securities, Inc. $300,000 for disclosure failures related to customer ...
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Tommy Mai Sanctioned for Forging Customer Signatures, Running a Misleading Los Angeles-area TV Show That Discussed Securities Jan 18
FINRA fined and suspended former Questar Capital Corporation (Westminster, CA) and Client One ...
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Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts Jan 10
FINRA filed a complaint alleging that former Financial West Group (San Francisco) and Paulson ...
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2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity Jan 05
In its annual Regulatory and Examination Priorities Letter for 2017, FINRA revealed several ...
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