Tag: securities
Ameriprise Financial Services, Inc. fined by FINRA
Ameriprise Financial Services, Inc. (CRD #6363, Minneapolis, Minnesota) recently submitted a Letter of Acceptance, Waiver and Consent in...
Portfolio Advisors Alliance, Inc. fined by FINRA
Portfolio Advisors Alliance, Inc. (CRD #101680, New York, New York) and Marcelle Long (CRD #2679335, Registered Principal, Atlanta,...
Ace Diversified Capital, Inc. fined by FINRA
Ace Diversified Capital, Inc. (CRD® #41768, San Gabriel, California) and Lynnwood Jen (CRD #2198343, Registered Principal, Anaheim,...
FINRA Fines Credit Suisse & Merrill Lynch for Misrepresentations
The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3...
Morgan Stanley fined by FINRA relating to UIT sales
Morgan Stanley & Co. Incorporated (CRD #8209, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in...
Brookstone Securities fined by FINRA
Brookstone Securities, Inc. (CRD #13366, Lakeland, Florida) and David William Locy (CRD #4682865, Registered Principal, Overland Park,...
