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

2021-04-07T09:39:18-05:00April 7th, 2021|Improper Mutual Fund Sales Practices, Markets and Products, Securities Law|

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 [...]

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

2021-03-31T19:19:48-05:00March 31st, 2021|Improper Mutual Fund Sales Practices, Securities Law|

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 [...]

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