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FINRA Orders SagePoint to Pay $1.6 Million for Alleged Unit Investment...

The Financial Industry Regulatory Authority has ordered SagePoint Financial to pay $1.3 million in restitution, plus interest, to customers in connection with early rollovers...

FINRA Orders Stifel to Pay $3.6 Million for Alleged Unit Investment...

The Financial Industry Regulatory Authority has ordered Stifel, Nicolaus & Company, Incorporated to pay approximately $1.9 million in restitution, plus interest, to more than...

SEC: Raymond James to Pay $15 Million for Improperly Charging Retail...

The Securities and Exchange Commission has agreed to settle charges against three Raymond James entities for improperly charging advisory fees on inactive retail client...