Tag: FINRA investigation
David Lerner Associates Investigated by FINRA
According to the Investment News, David Lerner Associates Inc. has been accused of targeting unsophisticated and elderly customers while...
Investigation Involving Raymond Lucia Sr.
The White Law Group is investigating possible securities fraud claims on behalf of an investor involving investment recommendations made by...
Ameriprise fined by FINRA over Broker’s alleged forgeries
According to the Investment News, in an alleged failure of its compliance systems, Ameriprise Financial Services Inc. became aware of a...
National Securities Corporation Fined
National Securities Corporation (CRD #7569, Seattle, Washington) recently submitted an Offer of Settlement in which the firm was censured...
The Firm of Cantor Fitzgerald & Co. Fined by FINRA
Cantor Fitzgerald & Co. (CRD #134, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...
