$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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Ameriprise Financial Services, Inc. Fined $850K

Ameriprise Financial Services, Inc. Fined $850K

FINRA fined Ameriprise Financial Services, Inc. $850K for failing to supervise the transmission of funds from their customer brokerage accounts.  A Registered Representative converted more than $370K without detection for two years.  The lack of an established supervisory system by Ameriprise led to missed red flags that would have uncovered the misconduct.

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