Failure to Supervise

Posts In Failure to Supervise

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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Growth Capital Services Fined $35,000 for Distributing Misleading Description of Risky Private Placements and Disclosure Failures Mar 22
FINRA censured Growth Capital Services of San Francisco, California and fined the firm $35,000 for ...
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Whitehall-Parker Securities, Robert James Yuloo Cited for Failing to Supervise Broker Who Sold Fraudulent Woodbridge Ponzi Scheme Products Mar 18
FINRA fined and suspended Whitehall-Parker Securities (San Rafael, California) principal Robert ...
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Cetera Financial Group & Cetera Advisors Paid $4.2 Million Over Mutual Fund Misconduct Mar 09
According to a recent InvestmentNews report , Cetera Financial Group quietly announced, via SEC ...
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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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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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