Posts In Unit Investment Trusts

FINRA ordered Merrill Lynch to pay over $11 million in fines and restitution for supervisory ...

FINRA continued its campaign against unsuitable short-term sales of unit investment trusts (UITs) by ...

FINRA ordered Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services to pay more ...

In January 2020, FINRA ordered Oppenheimer & Co. to pay $3.8 million in restitution and fines for ...

FINRA ordered Oppenheimer & Co to pay $3.8 million in restitution and an $800,000 fine for failing ...

FINRA sanctioned former Morgan Stanley and LPL Financial broker Ron Ray Willoughby aka Ronald ...