Jeffrey Russell Suspended from Securities Industry by FINRA for Unauthorized Trades
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Jeffrey Russell (CRD # 2516610) was recently suspended from the securities industry [...]
Blake Adam Levy Suspended from Securities Industry by FINRA for Unsuitable Private Placements
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Blake Adam Levy (CRD # 4593636) was recently suspended from the securities [...]
FFEC Wealth Partners LLC Sanctioned by FINRA for Failure to Supervise Regarding Margin and Mutual Funds
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 [...]
NEXT Financial Group, Inc. Sanctioned by FINRA for Failure to Supervise Mutual Funds and Municipal Bonds
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
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
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
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
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
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 [...]