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

Posted in Securities Law | Tagged , , , , | Leave a comment

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

Posted in Family Law | Tagged , , , , | Leave a comment

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 , , , , , , | Leave a comment

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

Posted in Intellectual Property | Tagged | Leave a comment

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 , , , , , | Leave a comment