Month: November 2011
Securian Financial Services Responsible for $2.4 million
Reuters is reporting that a securities arbitration panel ruled that “Securian Financial Services Inc must pay an investor $2.4 million...
LPL Financial Fined for Failure to Supervise Jack Kleck
According to the investmentnews.com Oregon regulators in charge of securities have fined LPL Financial LLC $100,000 “for failing to...
DeWaay Possible Bankruptcy and DBSI Litigation
DeWaay Financial Network LLC says they are teetering on the edge of bankruptcy due to a deluge of securities litigation against them....
Wells Investment Securities Fined by FINRA for Misleading Marketing of REIT
According to a public release, FINRA has fined Wells Investment Securities, who is “the dealer-manager and wholesaler for the public...
John Hancock Scales Back Variable Annuity Offerings
According to a recent article in the investmentnews.com, John Hancock “has pulled back on its annuity distribution and expects to...
SEC charges FTN Financial Securities Corp.
According to a recent article in fa-mag.com the SEC recently “charged Memphis, Tenn.-based broker-dealer FTN Financial Securities Corp....
