Month: December 2020
B. Riley Wealth Management to pay for 529 Plan Overcharges
FINRA sanctions B. Riley Wealth Management for Supervisory Issues According to a Letter of Acceptance, Waiver and Consent (AWC) signed on...
Morgan Stanley to pay Customers for Plan Overcharges
Morgan Stanley’s Supervisory Failures result in almost $1.4 Million in Overcharges According to a Letter of Acceptance Waiver and Consent...
Pruco Securities to pay $18 Million for Overcharges
Pruco Securities to pay $18 Million for Overcharges The SEC Sanctions Pruco Securities for Alleged Breach of Fiduciary Duty The Securities...