Tag: Unit Investment Trusts
Investor Alert: Unit Investment Trusts (UITs)
What is a Unit Investment Trust? Unit Investment Trusts (UITs) are exchange-traded mutual funds offering a fixed (unmanaged) portfolio of...
Concourse Financial Group (Proequities Inc.) Overview
The White Law Group reviews the regulatory history of Concourse Financial Group (Proequities Inc.). Concourse Financial Group...
Chase to pay $3.6 Million in Reimbursements and FINRA Fines
According to the Financial Industry Regulatory Authority (FINRA) they have fined Chase Investment Services $1.7 million and ordered them to...
Morgan Stanley fined by FINRA relating to UIT sales
Morgan Stanley & Co. Incorporated (CRD #8209, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in...
Claymore Securities Strategic Income Series 13 UIT
We are currently investigating a securities fraud claim on behalf of an 85 year retiree regarding an unsuitable Unit Investment Trust...
