Solicitation

Posts In Solicitation

Broker-Dealer's Due Diligence Duties for Private Placements Require Research and Supervision Mar 31
Over the past year, FINRA reminded broker-dealers of their responsibilities when selling private ...
View Article
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 ...
View Article
JP Morgan Broker Trevor Rahn Disciplined for Unauthorized Trading, Improper Discretion, and Mismarking Solicited Orders Mar 23
FINRA fined and suspended former JP Morgan Securities Managing Director Trevor Bradner Rahn of the ...
View Article
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 ...
View Article
Megurditch Patatian Accused of Unsuitable REIT Recommendations Funded Through VA Surrenders Mar 02
FINRA filed a complaint against former Western International Securities broker Megurditch Mike ...
View Article
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 ...
View Article