Search for: "Mutual Securities, Inc"
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28 Feb 2008, 3:05 pm
" Prudential Securities must pay an $800,000 fine, UBS Financial Services, Inc. was fined $750,000 and Pruco Securities was hit for $100,000 for improper sales of Class B and Class C mutual fund shares. [read post]
26 Jan 2010, 8:58 pm
Court of Appeals for the Fifth Circuit has affirmed the Securities and Exchange Commission’s lifetime bar against a former Southwest Securities Inc. stockbroker. [read post]
28 Jul 2014, 12:01 pm
On July 23, Judge William Conley of the Western District of Wisconsin granted in part and denied in part RBS Securities Inc. [read post]
4 Jul 2007, 6:56 am
The Securities and Exchange Commission filed suit in a New York Federal Court contending that Simpson Capital Management Inc., its owner and its head trader entered into late-trades in hundreds of mutual funds, defrauding the funds and their shareholders of approximately $57 million. [read post]
16 Feb 2010, 2:05 pm
Cellular South Inc. has filed a federal lawsuit in Mississippi against JP Morgan Securities for misrepresenting the risk and liquidity of auction rate securities, leaving $4 million in securities that it cannot liquidate. [read post]
2 Feb 2021, 8:41 am
The post Investors Allege Charles Kulch of NEXT Financial Group, Inc. [read post]
16 Nov 2022, 2:14 am
Hartman vREIT XXI, Inc. [read post]
28 Feb 2021, 12:41 pm
Lerner of David Lerner Associates, Inc. [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter… [read post]
2 Jan 2007, 11:48 pm
Securities America is an Ameriprise Financial Inc. subsidiary. [read post]
21 Jun 2018, 9:15 am
Merger Plans – WP Carey Inc. appeared first on White Securities Law. [read post]
3 Mar 2022, 9:33 am
SEC Alleges Cambridge Investment Research Breached its Fiduciary Duty with Mutual Fund Overcharges According to a press release on March 2, 2022, the Securities and Exchange Commission charged Cambridge Investment Research Advisors, Inc. a registered investment advisor based in Fairfield, Iowa, with breaching its fiduciary duty by failing to disclose material conflicts of interest related to its selection of mutual funds and wrap accounts for clients. [read post]
5 Nov 2018, 10:00 pm
Security Health Plan of Wisconsin, Inc. v. [read post]
26 Jun 2019, 2:09 pm
Edward Earl Matthes (CRD#: 2788055) is a former registered broker and investment advisor whose last employer was Mutual Of Omaha Investor Services, Inc. [read post]
27 Jun 2007, 12:26 pm
An SEC administrative law judge found that JB Oxford Holdings, Inc. [read post]
29 Jul 2020, 9:07 am
The White Law Group is investigating potential securities claims involving broker-dealers’ improper recommendation that investors purchase high-risk non-traded REIT investments, like CIM Income NAV Inc.. [read post]
14 May 2012, 3:33 pm
In most cases, these investments pay larger commissions than traditional securities like stocks, bonds, and mutual funds. [read post]
8 Mar 2024, 11:31 am
Among the firms involved were Northwestern Mutual Investment Services LLC, Guggenheim Securities LLC, Oppenheimer & Co. [read post]
19 May 2019, 8:34 am
Matthes, formerly registered with Mutual of Omaha Investor Services, Inc. [read post]
2 May 2012, 6:42 am
The SEC had alleged that UBS Financial Services Inc. of Puerto Rico, starting in 2008, solicited thousands of retail investors, saying a competitive and liquid secondary market contributed to their closed-end mutual funds’ performance. [read post]
