Compliance

Posts In Compliance

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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VALIC Financial Advisors Fined $350,000 for Variable Annuities Failures After Prior $1.75 Million Fine Feb 25
FINRA continued its crackdown on firms with deficient variable annuities (VAs) policies and ...
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Wells Fargo's Scott Reed Barred After Selling $3.5 Million of Web/Software Investments Away from Firm Feb 22
FINRA barred former Wells Fargo Clearing Services (Scottsdale, AZ) broker Scott Wayne Reed for ...
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Andrew Perona Sanctioned for Taking Clients' Personal Information to New Firm Without Consent Feb 18
FINRA fined and suspended Lincoln Financial Advisors (Peoria, Arizona) broker Andrew David Perona ...
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FINRA Fines Triad Advisors $150,000 Over Poor Mutual Fund & Variable Annuity Switches That Resulted in Customer Losses Feb 11
Advisor Group broker-dealer Triad Advisors agreed to pay nearly $200,000 in fines and restitution to ...
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My Financial Girlfriend CEO Lisa Brumm Sanctioned for Unsuitable Variable Annuity Recommendations Feb 10
FINRA fined and suspended Woodbury Financial Services (Portland, Oregon) broker Lisa Ann Brumm aka ...
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