Commissions

Posts In Commissions

Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures Apr 12
FINRA censured and fined Independent Financial Group (IFG) $200,000 for failing to supervise a ...
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Adviser Who Instructed Elderly Customers to Sign Blank Documents and Lied on Forms to Effect Investments in High-Risk, High-Fee Products Sentenced to 17 Years in Prison Apr 01
A Department of Justice press release announcing ex-financial adviser Anthony Diaz's 17-year prison ...
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While Stating "We Routinely Have Legal Issues," Calton & Associates Adds $500,000 to ETF Legal Budget, Seeking to Pay Customers Restitution for Complex ETF Sales Mar 26
Calton & Associates president Dwayne Calton said in a March 2021 interview that the firm anticipates ...
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The Logan Group Securities Cited for Multi-Share Class Variable Annuity Violations Mar 25
FINRA fined and censured The Logan Group of Roseville, California for failing to establish, ...
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JP Morgan Broker Trevor Rahn Disciplined for Unauthorized Trading, Improper Discretion, and Mismarking Solicited Orders Mar 23
FINRA fined and suspended former JP Morgan Securities Managing Director Trevor Bradner Rahn of the ...
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Megurditch Patatian Accused of Unsuitable REIT Recommendations Funded Through VA Surrenders Mar 02
FINRA filed a complaint against former Western International Securities broker Megurditch Mike ...
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