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Finra dings Hightower with $353,000 penalty over alt sales

Finra penalized Hightower Securities $352,200 at the end of last month as a result of alleged violations of industry rules in sellling alts.

United statesPreservation growth fundFinancial industry regulatory authority incCapital holdingsExchange commissionHightower securitiesGrowth fundNew york based

Keeping Up With FINRA: June 2022 Facts and Trends

FINRA enforcement arm policed crowdfunding misconduct, trading volume overstatements. Recent managed options trading strategy arbitrations continue. FINRA followed through initiatives on restricted firm designations, complex products, broker-dealer complaint expungement.

New mexicoUnited statesMerrill lynchJessica hopperGary genslerRobert cookPreservation growth fundFinancial group incDepartment of enforcementMarket regulation departmentMaintenance incRestricted firm oncePublic investors advocate bar associationGeneos wealth management incWefunder portalWolf research securities

FINRA Facts and Trends: June 2022 | Bracewell LLP

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,.

New mexicoUnited statesMerrill lynchJessica hopperGary genslerRobert cookPreservation growth fundFinancial group incDepartment of enforcementMarket regulation departmentMaintenance incRestricted firm onceGeneos wealth management incWefunder portalWolf research securitiesRestricted firm

Wells Fargo, Morgan Stanley, Fidelity discuss fraud prevention

In a panel held by NASAA, experts from giant wealth managers explained how reps and their teams often serve as the first line of defense.

United statesDebbie nouryNancy heffnerHeather murphyRichard szuchMarin gibsonThomas mierswaEdward jonesFidelity investmentsMorgan stanleyDepartment of justicePreservation growth fundAmerican securities administrators associationCapacity committeeCompliance divisionCommonwealth financial network

FINRA issues notice about alternative mutual funds

Despite earlier alerts and a wave of cases related to the LJM Preservation & Growth Fund, the regulator sees “continuing” deficiencies.

United kingdomJohn gebauerCambridge investment researchAdvisor groupPreservation growth fundGrowth fundInvestment researchWealth managementSalt fundsRegulation and complianceAlternative investments

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