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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.

Chicago
Illinois
United-states
Preservation-growth-fund
Financial-industry-regulatory-authority-inc
Capital-holdings
Exchange-commission
Hightower-securities
Growth-fund
New-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-mexico
United-states
Texas
Merrill-lynch
Crowdfunding
Jessica-hopper
Gary-gensler
Robert-cook
Preservation-growth-fund
Financial-group-inc
Department-of-enforcement
Market-regulation-department

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-mexico
United-states
Texas
Merrill-lynch
Crowdfunding
Jessica-hopper
Gary-gensler
Robert-cook
Preservation-growth-fund
Financial-group-inc
Department-of-enforcement
Market-regulation-department

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.

Jersey
California
United-states
American
Debbie-noury
Nancy-heffner
Heather-murphy
Richard-szuch
Marin-gibson
Thomas-mierswa
Edward-jones
Fidelity-investments

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.

Cambridge
Cambridgeshire
United-kingdom
John-gebauer
Cambridge-investment-research
Advisor-group
Preservation-growth-fund
Growth-fund
Investment-research
Wealth-management
Salt-funds
Regulation-and-compliance

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