Posts In Clearing Firm Liability

SEC Fines LA-Based Electronic Transaction Clearing $80,000, Issues Cease-And-Desist Order for Margin Securities Failures Mar 21
The Securities and Exchange Commission initiated cease-and-desist proceeding against Electronic ...
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Pershing LLC Fined $3 Million for Supervisory, Customer Protection Violations Jan 07
FINRA fined clearing firm Pershing LLC $3 million for violating the SEC Customer Protection Rule ...
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Patrick Foley Barred After Investigation into Accepting Loans from Elderly Client
Cetera Financial Group & Cetera Advisors Paid $4.2 Million Over Mutual Fund Misconduct
Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages
Growth Capital Services Fined $35,000 for Distributing Misleading Description of Risky Private Placements and Disclosure Failures
Glendale Securities (Sherman Oaks) Brokers Sanctioned in Penny Stock Misconduct

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