logo_web_wht
(888) 637-5510

Tag: Unit Investment Trust

Blog, Securities Fraud Articles

Wells Fargo to pay nearly $2.7 million for early UIT rollovers 

FINRA Sanctions Wells Fargo and four other BDs for excessive sales charges  According to The Financial Industry Regulatory...

Read More

Blog, Securities Fraud Articles

Citigroup Global Markets Inc. fined by FINRA

Citigroup Global Markets Inc. (CRD #7059, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

Read More

Blog, Securities Fraud Articles

FINRA Arbitration Claim filed Against NEXT Financial

The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim involving...

Read More

Blog, Securities Fraud Articles

FINRA Fines Atlanta based broker-dealer SunTrust Investment Services

FINRA recently today that it has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related...

Read More