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Tag Archives: FINED
Cetera Fined $1.4M For Churning Broker
You may have heard the term “churning” in discussions of investments and securities. But you probably won’t know what it means unless you’ve actually experienced it. (Hint: it has nothing to do with butter.) “Churning” is when a broker and/or … Continue reading
Belgium Ex-King may be Fined for DNA Test Refusal
From BBC News: A Belgian appeals court has ruled that former King Albert II is to be fined €5,000 (£4,370) a day if he refuses to undergo a DNA test. In February, he refused to undergo such a test in… … Continue reading
LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. April 2019- Austin , Texas The Texas State Securities Board (TSSB) fined LPL Financial $450,000 and ordered a repurchase of certain securities sold to investors. In addition LPL agreed to pay $49,000 … Continue reading
Posted in Securities Law
Tagged $450K, Financial, FINED, Regulators, Sale, Texas, Unregistered
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FCC “fined” robocallers $208 million since 2015 but collected only $6,790
Enlarge / FCC Chairman Ajit Pai on December 14, 2017, in Washington DC, the day of the FCC's vote to repeal net neutrality rules. (credit: Getty Images | Alex Wong ) The Federal Communications Commission has issued $208.4 million in … Continue reading
Several Connecticut nursing homes fined by state DPH
While people here who have a loved one in a nursing home often take great care to ensure the facility is a good fit for their family member, not every nursing home upholds its duty of care to residents. The … Continue reading
Posted in Medical malpractice law
Tagged Connecticut, FINED, Homes, nursing, Several, state
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