Fees

Posts In Fees

Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures Jul 16
FINRA ordered Merrill Lynch to pay over $11 million in fines and restitution for supervisory ...
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SEC Orders Crown Capital Securities to Pay $1.6 Million Over Mutual Fund Share Class Violations Jun 29
Southern California-based Crown Capital Securities will pay nearly $1.6 million after an SEC ...
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Farmers Financial Solutions Fined for Failing to Supervise Variable Universal Life, Mutual Funds Business Jun 24
FINRA fined Farmers Financial Solutions of Westlake Village, California $100,000 for failing to ...
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UnionBanc Investment Services Fined $100k for Variable Annuity Supervision Woes May 11
FINRA fined UnionBanc Investment Services of Glendale, California $100,000 for failing to adequately ...
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FINRA Issues $1.3 Million Punishment After ONESCO's Unsuitable "Infinite Banking" Strategy of Variable Annuities Investments Nets Firm Over $732,000 in Commissions While Customers Incur $371,000 in Charges and Additional Damages May 04
FINRA fined Ohio National Life Insurance's ON Equity Sales Company (ONESCO) $275,000 and ordered $1 ...
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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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