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Unit Investment Trusts

Most Recent Posts in Unit Investment Trusts

Jan 9, 2024 LPL Financial to Pay $6 Million for Supervisory, Sales Practice, and Review Failures
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May 10, 2023 Centaurus Financial's Donnie Ingram Sanctioned for Unsuitable UIT and REIT Recommendations
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Nov 3, 2022 FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor
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Jul 14, 2022 McDermott Investment Advisors Loses to SEC in Court, Held Liable for Fraud Against UIT Clients
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Jan 14, 2022 Royal Alliance Associates, Sagepoint Financial & FSC Securities Sanctioned for Supervisory Failures; SagePoint Cited for Failing to Monitor Known Problem Brokers
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Jul 16, 2021 Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures
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Nov 27, 2020 FINRA Cracks Down on Unit Investment Trust (UIT) Short-Term Trading Abuse at Stifel, Nicolaus & Company
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Sep 3, 2020 Wells Fargo Variable Annuity Supervision Violations Net $2 Million in Fines and Restitution
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Aug 4, 2020 Oppenheimer, Already Sanctioned $3.8 Million, Sees Broker Penalized for Premature & Unsuitable UIT Sales & Trades
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