Wells Fargo Broker-Dealers to Pay $3.4 M in Restitution

Wells Fargo Broker-Dealers to Pay $3.4 M in Restitution

FINRA has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 M in restitution to affected customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and related supervisory...

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$13M in Fines and Restitution for Failure to Supervise UIT Sales

$13M in Fines and Restitution for Failure to Supervise UIT Sales

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3 Things to Know About Financial Designations

3 Things to Know About Financial Designations

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JACOB GLICK DISCHARGED BY ADVANCED PRACTICE ADVISORS

JACOB GLICK DISCHARGED BY ADVANCED PRACTICE ADVISORS

Bingham Law is interested in speaking to investors who have complaints regarding Jacob Glick (CRD# 5046356).

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Eric Joseph Miller Barred From Association With Any FINRA Member

Eric Joseph Miller Barred From Association With Any FINRA Member

Eric Joseph Miller of Scottsdale, AZ, has been barred from association with any FINRA member in any capacity.  Mr. Miller failed to appear and provide FINRA with requested testimony at a disciplinary hearing.  Read the FINRA Hearing Officers Default Decision here.  ...

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VALIC Fined $1.75M by FINRA

VALIC Fined $1.75M by FINRA

A recent FINRA News Release found that Houston-based VALIC Financial Advisors, Inc. (VFA) created a conflict of interest by providing registered representatives a financial incentive to recommend that customers move funds, while failing to maintain systems and procedures of monitoring and...

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