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 moreAugust 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 moreJuly 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 moreOctober 26, 2015- Bethesda, Maryland H. Beck, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May 2008 and…
read moreNovember 16, 2015 Virtus Investment Advisers agreed to pay $16.5 million in fines to settle charges with the SEC that it publicized false performance data for the AlphaSector exchange-traded fund…
read moreOctober 26, 2015- Austin, Texas U.S. Magistrate Mark Lane entered a final judgment in favor of the SEC against four money managers who promoted scam investments in oil and gas…
read moreSan Antonio, Texas The FBI announced that former Merrill Lynch broker Bruce E. Hammonds, 50, of San Antonio and Boerne, Texas, was sentenced to 57 months in prison for securities…
read moreAugust 13, 2015- Loudon, Tennessee/ Boston, MA Signator Investors, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreAugust 26, 2015- San Antonio, Texas Braymen, Lambert and Noel Securities (BLNS) and Shannon Braymen , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory…
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