fbpx

Business Development Company (BDC)

National Planning Corp. Fined by Regulators for Excessive Sales Charges
National Planning Corp. Fined by Regulators for Excessive Sales Charges 150 150 Rex Securities Law

August 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

read more

J.P. Turner Sanctioned For Excessive Sales Charges
J.P. Turner Sanctioned For Excessive Sales Charges 150 150 Rex Securities Law

August 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

read more

Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales
Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales 150 150 Rex Securities Law

July 15, 2015- Miami, Florida Investacorp Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009…

read more

Transamerica Financial Advisors Sanctioned by Securities Regulators
Transamerica Financial Advisors Sanctioned by Securities Regulators 150 150 Rex Securities Law

July 24, 2015- St. Petersburg, Florida Transamerica Financial Advisors (Transamerica)  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

read more
  • 1
  • 2
Enter your
text here

This site is protected by wp-copyrightpro.com