excessive markups
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February 18, 2015

SEC Commissioner Speaks Out about Lack of Bond Oversight

According to FA-Magazine, the commission of the SEC, Luis Aguilar, made claims that

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June 27, 2013

FINRA Fines Securities Firm $1 Million

According to the Financial Industry Regulatory Authority (FINRA), StateTrust

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January 11, 2011

FINRA Investigates Long Island brokerage firm David Lerner & Associates

According to the New York Post, in May 2010, FINRA accused Long Island brokerage

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January 3, 2011

APS Financial Corporation Expelled By FINRA

Financial Industry Regulatory Authority (FINRA) recently announced that it has

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November 24, 2010

FINRA fines Next Financial for Supervisory Failures

In 2009, FINRA announced that it had fined NEXT Financial Group, Inc., headquartered

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