Tag: 529 plan
FINRA Orders Multiple Firms to Pay $11.1 Million in Restitution for...
The Financial Industry Regulatory Authority has censured and ordered multiple broker-dealers to pay a total of $11.1 million in restitution to clients for their...
Transamerica to Pay $8.8 Million to Settle FINRA Charges
The Financial Industry Regulatory Authority has ordered Transamerica Financial Advisors Inc. to pay a $4.4 million fine, plus nearly $4.4 million in restitution after...