Conflicts of Interest2020-02-04T12:14:23-05:00

The Jeffrey Matthews Financial Group, L.L.C. Sanctioned by FINRA for Reg BI Violation

By |July 26th, 2024|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, The Jeffrey Matthews Financial Group, L.L.C. (CRD # 41282) was recently sanctioned [...]

National Securities Corporation Sanctioned by FINRA After Investigation Into Multiple Violations

By |June 26th, 2022|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, National Securities Corporation (CRD # 7569) was recently sanctioned by FINRA’s Department [...]

Have You Lost Money From Your Broker Engaging In Selling Away?

By |December 10th, 2020|Tags: , , , , , , , , , , , , , , , |

Have you lost money in a “hot new investment with great returns” recommended by your broker just to later find out it wasn’t even a product [...]

NPB Financial Group, LLC Sanctioned by the SEC for Breach of Fiduciary Duty

By |August 25th, 2020|Tags: , , , , , , , , , , , , , , , |

Publicly available records provided by the Securities and Exchange Commission (SEC) indicate that administrative proceedings were recently brought against investment advisory firm, NPB Financial Group, LLC [...]

Chardan Capital Markets, LLC Sanctioned by FINRA for Failure to Supervise Conflicts of Interest

By |July 15th, 2020|Tags: , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Chardan Capital Markets, LLC (hereinafter “Chardan”) (CRD # 120128) was recently sanctioned [...]

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