Failure to supervise dually licensed agents leads to sanctions for agency nominees.
Advisor fined $13,500 for altering forms.
Advisor who failed to report more than $2 million in taxable income sent to prison.
He recommended that 25 clients concentrate their holdings in precious metals sector mutual funds.
A regulator has reversed its decision to fine an agent $10,000. Instead, he will be fined only $100 plus partial investi
The advisor admitted recommending a trade in a mutual fund that unnecessarily subjected a client to a deferred sales cha
In two recent decisions, an insurance regulator has levied fines against an agent and a car dealership, respectively, af