Month: December 2017
FINRA Censures & Fines Next Financial for Supervisory Issues
Next Financial Group– New Procedures but Misconduct Reportedly Continues According to the Financial Industry Regulatory Authority (FINRA)...
FINRA Censures Former Cetera Firms for Overcharges
Investors Capital Corp., J.P. Turner & Co. and VSR Financial Services to pay restitution According to The Financial Industry Regulatory...
SEC charges Paul W. Smith with Investment Advisory fraud
Paul W. Smith allegedly raised $2.35 million from 30 Investors According to federal court papers, the Securities and Exchange Commission...
Peyton N. Jackson – Permanently Barred from Securities Industry
FINRA Bars New York Advisor Peyton N. Jackson According tothe Financial Industry Regulatory Authority, on September 27, 2017, Peyton N....
L-share Annuity – Suitable Investment for you?
L-share Annuity – Investment Losses An L-Share Annuity is a common share class offered by a variable annuity that has a short...
H. Beck Inc. Censured and Fined for Unsuitable Recommendations
FINRA Censures and Fines H. Beck Inc. for Supervisory Issues According toThe Financial Industry Regulatory Authority, on September 27,...
