Posts in July, 2021

Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures Jul 16
FINRA ordered Merrill Lynch to pay over $11 million in fines and restitution for supervisory ...
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A Truly International Operation: Northstar Financial Services (Bermuda)'s Liquidation Will Result in Significant Losses
Wedbush's Latest Penalty is an $8.1 Million SEC Fine for Improper Handling of ADRs
FINRA Issues $1.3 Million Punishment After ONESCO's Unsuitable "Infinite Banking" Strategy of Variable Annuities Investments Nets Firm Over $732,000 in Commissions While Customers Incur $371,000 in Charges and Additional Damages
Cetera Financial Group & Cetera Advisors Paid $4.2 Million Over Mutual Fund Misconduct
The Securities-Based Loan Margin Call Is "Exactly The Risk We Are Focused On," Says FINRA

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