Tag: LJM
Geneos to Pay $400,000 to Settle FINRA Charges Involving GPB and...
The Financial Industry Regulatory Authority has fined Geneos Wealth Management $150,000 for failing to reasonably supervise its representatives’ recommendations of an alternative mutual fund...
FINRA Fines Advisor Group’s Triad for “Risky” Alternative Mutual Fund Sales
The Financial Industry Regulatory Authority has censured and fined Triad Advisors, a broker-dealer within the Advisor Group network, for failing to reasonably supervise its...
FINRA Fines Three Broker-Dealers for Selling “Risky” Alternative Mutual Fund
The Financial Industry Regulatory Authority has censured and fined three broker-dealers, Cambridge Investment Research, Securities America, and J.W. Cole Financial, for failing to reasonably...
