A National Securities Arbitration & Investment Fraud Law Firm
Cetera Investment Services, LLC (CRD# 15340) entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA after the regulatory body alleged it failed to notify account owners regarding changes to their account records. According to the AWC, from October 1, 2008 through November 15, 2013, Cetera failed to…
Firm Allegedly Listed Commissions as “Miscellaneous” or “Additional Fees” BlackBook Capital, LLC, with headquarters on Wall Street in New York City, has been sanctioned by FINRA for allegedly mischaracterizing and understating commissions charged to its investors, among other charges. According to the FINRA disclosure, the firm –without admitting or denying…