Categories2020-02-04T12:02:55-05:00

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

By |December 5th, 2022|Categories: Improper Mutual Fund Sales Practices, Securities Law|Tags: , , , , , , , , , , , , , , , , , , |

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

By |November 16th, 2022|Categories: Fraud, Private Placements, Securities Law, Unsuitability|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

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

By |November 6th, 2022|Categories: Churning, FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

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 [...]

Go to Top