2020

Posts In 2020

FINRA Charges Nicholas Baecker with Forging Customer Signatures on Forms Dec 17
Former Thrivent Investment Management broker Nicholas Gregory Baecker accepted and consented to ...
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California's Infinity Financial Services Fined $35k Over Inadequate Background Checks of Brokers, Failing to Obtain Industry Approvals Dec 11
FINRA fined Infinity Financial Services of Oakland, California $35,000 for failing to conduct ...
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FINRA Charges Gregory McCloskey aka Gregory Meier with Covering Up Improper Private Securities Transaction (PST) with a Second Improper PST Dec 09
FINRA's Department of Enforcement filed a complaint against former WestPark Capital broker and ...
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FINRA Cracks Down on Unit Investment Trust (UIT) Short-Term Trading Abuse at Stifel, Nicolaus & Company Nov 27
FINRA continued its campaign against unsuitable short-term sales of unit investment trusts (UITs) by ...
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FINRA Finds Variable Annuities, Life Insurance Liquidation Strategy Unsuitable, Cites ON Equity Sales Broker Nov 25
Citing the case of an O.N. Equity Sales Company broker who unsuitably recommended that at least 78 ...
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American Portfolios Financial Services Fined for Unsuitable VXX Recommendations That Caused Customer Losses Nov 20
The Securities and Exchange Commission ordered American Portfolios Financial Services and American ...
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