LPL Financial has agreed to pay over $6 million to settle charges by FINRA, alleging violations of Regulation Best Interest in recommending trades involving certain listed business development companies.
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LPL Financial has agreed to pay over $6 million to settle charges by FINRA, alleging violations of Regulation Best Interest in recommending trades involving certain listed business development companies.
The Financial Industry Regulatory Authority Inc. (FINRA) recently concluded settlements totaling $2.6 million in fines and restitution with four mobile apps and online broker-dealers.
The Financial Industry Regulatory Authority (FINRA) has imposed a fine and suspension on Mitchell S. Morrison for engaging in private securities transactions without providing prior written notice to his affiliated firms.
Former Morgan Stanley advisor Sara Y. Qazi has agreed to a $15,000 fine and a three-month suspension after the Financial Industry Regulatory Authority (FINRA) had alleged that she aided a client in an unauthorized private investment.
TD Private Client Wealth (TDPCW), a broker-dealer subsidiary of TD Bank, has agreed to pay a $600,000 fine and be censured following an investigation by the Financial Industry Regulatory Authority (FINRA).
In a recent message underscoring the significance of ethical conduct, the Financial Industry Regulatory Authority (FINRA) has imposed a one-month suspension on a former LPL Financial advisor.
Robert W. Baird & Co. has reached a settlement with the Financial Industry Regulatory Authority (FINRA) wherein they accepted a censure and committed to reimbursing more than $500,000 to clients who were overcharged for their mutual fund investments.
According to a Financial Industry Regulatory Authority (FINRA) complaint, Stewart "Paxton" Ginn excessively traded accounts over two and a half years, resulting in $2.22 million in losses and $2.24 million in commissions for him and his firm.
The Financial Industry Regulatory Authority (FINRA) has fined and suspended Arni J. Diamond for improperly selling limited partnership units in GPB Automotive Portfolio LP and GPB Waste Management LP.
An advisor who faced FINRA disciplinary action attempted to stop the proceedings in a D.C. federal court.
A recent FINRA arbitration decision has ordered a Cincinnati-based registered investment advisor firm and two of its founders to pay Wells Fargo more than $3 million in combined damages.
James Eccleston has been officially recognized as a Top Rated Lawyer by Martindale-AVVO.
Commonwealth Financial Network has been directed to pay $93.3 million due to its failure to disclose conflicts of interest linked to a revenue-sharing program with a
Fidelity Investments unit.