Tag: unsuitable investments
LPL Financial Overview
The White Law Group reviews the regulatory history of LPL Financial LLC. LPL Financial LLC (CRD#: 6413/SEC#: 801-10970,8-17668) the...
Berthel, Fisher and Co.: Complaints and Regulatory Actions
The White Law Group reviews the regulatory history of Berthel, Fisher and Company Financial Services. The following is a review of...
FINRA Sanctions Fortune Financial for VA Sales
Fortune Financial Allegedly Unsuitably Recommended Variable Annuities According to a Letter of Acceptance Waiver and Consent on...
Paulson Investment Co. Sanctioned for Unsuitable Investments
FINRA Censures and Fines Paulson for Variable Interest Rate Structured Products Sales Paulson Investment Company, LLC, a FINRA-registered...
Coastal Equities, Inc. to return $280,000 to Clients
FINRA Sanctions Coastal Equities for Allegations of Failure to Supervise Unsuitable Investments According to a Letter of Acceptance Waiver...
Scottsdale Progress: Local financial advisor under fire in lawsuit
A Scottsdale financial advisor with a questionable history is the subject of a lawsuit alleging he breached his fiduciary duty when he made...
