A broker-dealer settled charges with FINRA for causing customers to overpay in excess sales charges and fees on their accounts.
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A broker-dealer and a former representative settled FINRA charges for suitability and supervisory failings concerning recommendations involving Unit Investment Trusts and preferred stock of a real estate investment trust.
A broker-dealer settled FINRA charges for failing to identify potential sales charge discounts on customers’ mutual fund transactions.
SIFMA Asset Management Group supplemented its criticism of the SEC's proposal to impose extensive additional regulation of private fund advisers.
A broker-dealer settled FINRA charges for supervisory failures over sales of higher fee mutual fund share classes.