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Transamerica Financial Advisors to Pay $8.8 Million Over Unsuitable Recommendations Charges Jan 15
Transamerica Financial Advisors and FINRA reached agreement for Transamerica to pay $8.8 million in ...
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LPL Financial's Arthur Obermeier Cited for Unauthorized Discretionary Trading Jan 13
FINRA fined and suspended LPL Financial broker Arthur Obermeier, formerly of LPL's Boulder, Colorado ...
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Worden Capital Management Ordered to Pay $1.5 Million Over Systemic Excessive Trading and Unsuitable Recommendations That Caused Losses of Millions of Dollars, Interfering with Customers' Requests to Transfer Accounts to Another Broker-Dealer Jan 01
FINRA issued a $1.5 million penalty to Worden Capital Management, including $1.2 million in ...
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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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