July

Posts in July, 2018

National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct Jul 26
FINRA fined four firms—National Planning Corporation, Investment Centers of America, SII ...
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FINRA Fines Royal Alliance, FSC, SagePoint Financial, and Woodbury $1 Million for Variable Annuity Supervision Violations Jul 24
FINRA fined Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, and Woodbury ...
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Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme Jul 19
The Securities and Exchange Commission, in a civil complaint, charged Midtown Partners broker Kevin ...
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Financial, Energy Sectors Feature in 10 Funds with Largest Losses in First Half of 2018 Jul 18
InvestmentNews compiled a list of the 10 funds that saw the largest losses over the first half of ...
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Michael Gilhooly Barred for Refusal to Appear during Investigation Jul 17
FINRA barred Michael James Gilhooly, formerly of RJJ Pasadena Securities of South Pasadena, ...
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FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations Jul 12
FINRA barred former Financial West Group and Western International Securities (both Los Angeles, ...
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