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

2021-07-18T11:23:25-05:00July 18th, 2021|Improper Mutual Fund Sales Practices, Securities Law, Unsuitability|

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 [...]

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

2021-05-02T20:36:46-05:00April 1st, 2021|Fraud, Improper Mutual Fund Sales Practices, Securities Law|

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 [...]

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