This article was originally published by Law360.com Former WFG Investments Advisor Jay Dee Jordan Barred from Securities Industry Law360, New York (August 15, 2017, 8:05[...]
Exchange Traded Funds (ETFs)
Washington D.C., April 25, 2017 The Securities and Exchange Commission today charged a former broker with knowingly or recklessly trading unsuitable investment products in the[...]
Washington D.C., Feb. 14, 2017 — The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney has agreed to pay an $8 million[...]
FINRA has ordered LPL Financial to pay $10 million in fines and $1.7 million in restitution for “widespread supervisory failures” related to certain ETF, variable[...]