FFEC Wealth Partners LLC Sanctioned by FINRA for Failure to Supervise Regarding Margin and Mutual Funds

2022-12-05T16:22:14-05:00December 5th, 2022|Improper Mutual Fund Sales Practices, Securities Law|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, FFEC Wealth Partners LLC (CRD # 16507) was recently sanctioned by FINRA’s [...]

Boustead Securities, LLC Sanctioned by FINRA After Investigation Regarding Supervisory System and Private Placements

2022-11-16T16:23:23-05:00November 16th, 2022|Fraud, Private Placements, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Boustead Securities, LLC (CRD # 141391) was recently sanctioned by FINRA’s Department [...]

Christopher Polinaire Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

2022-11-06T19:00:31-05:00November 6th, 2022|Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Christopher Alexander Polinaire (CRD # 4330879) was recently suspended from the securities [...]

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