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May 14, 2026
Cambridge Investment Research Fined $200k for Unit Investment Trust (UIT) Supervisory Failures
Read More
Jan 9, 2024
LPL Financial to Pay $6 Million for Supervisory, Sales Practice, and Review Failures
Read More
May 10, 2023
Centaurus Financial's Donnie Ingram Sanctioned for Unsuitable UIT and REIT Recommendations
Read More
Nov 3, 2022
FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor
Read More
Jul 14, 2022
McDermott Investment Advisors Loses to SEC in Court, Held Liable for Fraud Against UIT Clients
Read More
Jan 14, 2022
Royal Alliance Associates, Sagepoint Financial & FSC Securities Sanctioned for Supervisory Failures; SagePoint Cited for Failing to Monitor Known Problem Brokers
Read More
Jul 16, 2021
Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures
Read More
Nov 27, 2020
FINRA Cracks Down on Unit Investment Trust (UIT) Short-Term Trading Abuse at Stifel, Nicolaus & Company
Read More
Sep 3, 2020
Wells Fargo Variable Annuity Supervision Violations Net $2 Million in Fines and Restitution
Read More
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