Solicitation

Posts In Solicitation

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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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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Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures May 27
FINRA censured and fined Calton & Associates $250,000, ordering an additional $472,000 in ...
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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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SPAC Buying Slows as Regulators Propose Rule Change, Reviews of Prior SPACs Apr 21
A CNBC analysis of special purpose acquisition companies (SPACs) confirmed that while SPACs enjoyed ...
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