Unit Investment Trusts

Posts In Unit Investment Trusts

Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading Jun 06
FINRA sanctioned former Morgan Stanley and LPL Financial broker Ron Ray Willoughby aka Ronald ...
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Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California Jan 25
With 14 customer disputes and millions paid in settlements since 2015 surrounding allegations of ...
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FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities Jan 23
FINRA identified several sales practice risks and investor protection points of emphasis in its 2019 ...
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Richard Hughes Suspended for Coaxing Elderly Client to Lie About Excessive Commissions for Unsuitable UIT and Mutual Fund Recommendations Sep 07
FINRA fined and suspended former Wells Fargo Advisors Financial Networks broker Richard Stephen ...
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StockCross Financial Services, LA Broker Peter Cunningham Accused of Fraudulent, Unethical UIT Trading Practices Aug 14
Founded in Boston and now based in Beverly Hills, California, StockCross Financial Services and its ...
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National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct Jul 26
FINRA fined four firms—National Planning Corporation, Investment Centers of America, SII ...
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