Securities America
Finra Suspends Do-It-Yourself Broker Over Unauthorized E-Mails
Independent broker in California who allegedly conducted customer business via personal e-mail for more than four years and created incomplete account performance summaries on Excel is barred and fined.
Securities America, PNC, Geneos to Pay $15 Million for Mutual Fund Violations
The Securities and Exchange Commission cites share-class and failure-to-disclose improprieties, and reminds firms that they can receive favorable settlement terms if they self-report fund sales violations.