Failure to File Customer Complaints

Sep 15th, 2015
Published by Jeremy Hyndman at Sep 15th, 2015
Categories

David W. Unsworth Attempts to Silence Complaining Customers from FINRA

David Woods Unsworth Jr. of Belvedere, California was recently fined $25,000 and suspended for six months, according to reports from Financial Industry Regulatory Authority, or FINRA. […]
Do you like it?0
0 Read more
May 11th, 2015
Published by Jeremy Hyndman at May 11th, 2015
Categories

Irvine Firm, Ascendiant Capital Markets, Ignores Customer Complaint And Misrepresents Quality Of Its Financial Advisors

Ascendiant Capital Markets, LLC (“Ascendant”) has been reported to FINRA for allegedly not reporting a customer complaint against one of its financial advisors on time. The […]
Do you like it?0
0 Read more
Apr 3rd, 2015
Published by Jeremy Hyndman at Apr 3rd, 2015
Categories

National Securities Corporation Fined for Failure to Report Customer Complaints

National Securities Corporation (“National”) was reprimanded and fined for failing to file customer complaints and settlements with the Financial Industry Regulatory Authority (“FINRA”). National, a member […]
Do you like it?0
0 Read more
Mar 19th, 2015
Published by Jeremy Hyndman at Mar 19th, 2015
Categories

Wedbush Securities Busted For Failing To Disclose Customer Complaints, Harming The Investing Public

Wedbush Securities is in hot water for failing to timely and properly disclose its brokers’ bankruptcies, customer complaints, criminal allegations, and other serious matters. According to […]
Do you like it?0
0 Read more