Improper Mutual Fund Sales Practices2020-02-04T12:15:04-05:00

NEXT Financial Group, Inc. Sanctioned by FINRA for Failure to Supervise Mutual Funds and Municipal Bonds

By |July 18th, 2021|Tags: , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, NEXT Financial Group, Inc. (CRD # 46214) was recently sanctioned by FINRA’s Department [...]

FINRA Sanctions Broker-Dealers Regarding Sales of LJM Preservation and Growth Fund

By |April 7th, 2021|Tags: , , , , , , , , , , , , , |

Recently, FINRA sanctioned several broker-dealers regarding their actions with respect to the recommendation of sales to customers and supervision of such sales of LJM Preservation and [...]

Cambridge Investment Research, Inc. Sanctioned by FINRA for Failure to Supervise Sales of LJM Preservation & Growth Fund

By |April 1st, 2021|Tags: , , , , , , , , , , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Cambridge Investment Research, Inc. (CRD # 39543) was recently sanctioned by FINRA’s [...]

J.W. Cole Financial, Inc. Sanctioned by FINRA For Failure to Supervise Sales of LJM Preservation & Growth Fund

By |March 31st, 2021|Tags: , , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, J.W. Cole Financial, Inc. (CRD # 124583) was recently sanctioned by FINRA’s [...]

Securities America, Inc. Sanctioned by FINRA For Failure to Supervise Sales of LJM Preservation & Growth Fund

By |March 30th, 2021|Tags: , , , , , , , , , , , , , , , , |

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Securities America, Inc. (CRD # 10205) was recently sanctioned by FINRA’s Department [...]

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 [...]

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