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Initial Public Offerings

December 04, 2017 Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account
August 18, 2015 Walter Chao Fined and Suspended for Selling Facebook IPO Shares Away from LPL Financial, Supervisory Failures
December 13, 2014 FINRA Fines 10 Firms from Barclays to Wells Fargo $43.5 Million for Giving Favorable Research Coverage of Toys"R"Us IPO in Exchange for Banking Business
November 24, 2014 FINRA Fines Citigroup $15 Million for Supervisory Failures in IPO Research and Non-Public Communications
June 06, 2014 Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 07, 2014 Morgan Stanley Fined $5 Million for Supervisory Failures Related to Initial Public Offering Sales