August 21, 2024
Ex-Broker Barred After Refusing to Respond to FINRA ProbeCambridge Investment Research dismissed Gregory Corrie last year, alleging excessive use of unit investment trusts.
March 11, 2022
FINRA's Top 5 Fine Categories in 2021Fines in 2021 saw a "dramatic bump," driven by a record-setting fine.
December 13, 2021
FINRA Caps Off UIT Rollover Sweep With $2M Fine on Wells Fargo UnitThe sweep, which began in 2019, yielded more than $23 million in fines and restitution, FINRA said.
June 25, 2021
Merrill to Pay More Than $11M Over UIT RolloversOver 3,000 clients incurred potentially excessive sales charges in connection with early UIT rollovers, FINRA says.