Staff AttorneyNov 30, 20172 minTrident Partners Censured and Fined for Inadequate Steepener SupervisionThe Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Trident Partners, Ltd. (“Trident”). FINRA...
Staff AttorneyNov 22, 20172 minFINRA Suspends Cetera Broker Christopher Hickman for Unsuitable Short-Term UIT Investment RecommendaThe Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Cetera financial advisor Christopher...
Staff AttorneyNov 22, 20172 minFormer Merrill Lynch Broker Blake King Barred for Failing to Cooperate with Investigation involving Merrill Lynch financial advisor, Blake P. King (King), recently settled allegations with the Financial Industry Regulatory Authority...
Staff AttorneyNov 22, 20172 minCoastal Equities Censured and Fined for Non-Traditional ETF SupervisionThe Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Coastal Equities, Inc. (“Coastal Equities”)....