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Dec 4, 2017
Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account
Read More
Aug 18, 2015
Walter Chao Fined and Suspended for Selling Facebook IPO Shares Away from LPL Financial, Supervisory Failures
Read More
Dec 13, 2014
FINRA Fines 10 Firms from Barclays to Wells Fargo $43.5 Million for Giving Favorable Research Coverage of Toys"R"Us IPO in Exchange for Banking Business
Read More
Nov 24, 2014
FINRA Fines Citigroup $15 Million for Supervisory Failures in IPO Research and Non-Public Communications
Read More
May 7, 2014
Morgan Stanley Fined $5 Million for Supervisory Failures Related to Initial Public Offering Sales
Read More
