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3 Dec 2018, 1:43 pm by Staff Attorney
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Gary Pevey (Pevey), formerly associated with Mutual Securities, Inc. [read post]
22 Nov 2017, 7:42 am by Christopher J. Gray
The Financial Industry Regulatory Authority (“FINRA”) entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with First Allied Securities, Inc. [read post]
4 Jan 2013, 7:30 am by ekrause
As reported Jan. 2 by Investment News, LPL Financial LLC agreed to pay a $400,000 fine as part of the agreement; State Farm VP Management Corp., $155,000; Deutsche Bank Securities Inc., $125,000; Scottrade Inc., $50,000; and T. [read post]
22 May 2012, 4:10 pm by Securites Lawprof
Inc. and a former mutual fund manager at a subsidiary of Ameriprise Financial Inc. with insider trading on confidential information about a search engine partnership between Yahoo and Microsoft Corporation. [read post]
13 Apr 2018, 2:13 pm by Lax & Neville LLP
On April 6, 2018, the Securities and Exchange Commission (“SEC”) announced that three investment advisors, PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management (the “Advisors”) have settled charges with the SEC. [read post]
22 Jul 2010, 10:00 am by Securites Lawprof
FINRA has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges related to unsuitable unit investment trust (UIT), closed-end fund (CEF) and mutual fund transactions. [read post]
13 Apr 2018, 2:13 pm by Lax & Neville LLP
On April 6, 2018, the Securities and Exchange Commission (“SEC”) announced that three investment advisors, PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management (the “Advisors”) have settled charges with the SEC. [read post]
28 Jun 2007, 12:17 pm
In particular, the NASD has been focusing on what disclosures are made to the investor regarding the share classes.The NASD announced today that it has imposed fines against MML Investors Services, NYLIFE Securities, and Securities America, Inc for improper sales of Class B and Class C shares. [read post]
23 Aug 2017, 12:12 pm by Andrew Stoltmann
The five firms are Cetera Investment Services, Cetera Financial Specialists, First Allied Securities, Summit Brokerage Services and Girard Securities Inc. [read post]
6 Sep 2018, 9:40 am by Renae Lloyd
    The post FINRA Censures Lincoln Investment Planning for Mutual Fund Overcharges appeared first on White Securities Law. [read post]
21 Jun 2017, 9:20 am by Renae Lloyd
FINRA Fines MA Investment Advisory Firm, Citizens Securities According the Financial Industry Regulatory Authority, Citizens Securities, Inc. [read post]
20 Nov 2017, 12:08 pm by Renae Lloyd
FINRA Censures First Allied Securities for Mutual Fund Sales charge waivers  According to the Financial Industry Regulatory Authority, First Allied Securities, Inc. [read post]
30 Mar 2017, 7:02 am by Andrew Stoltmann
Macquarie is an open ended fixed income mutual fund launched and managed by Macquarie Asset Management Inc. [read post]
6 Jul 2017, 2:25 pm by Adam Weinstein
Mehringer is currently associated with Western International Securities, Inc. [read post]
9 Apr 2018, 1:36 pm by Jeffrey A. Newman
PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management Inc. failed to disclose conflicts of interest and violated their duty to seek best execution by investing advisory clients in higher-cost mutual fund shares when lower-cost shares of the same funds were available. [read post]