Bank robbery

Archive | Bank robbery

JP Morgan Continues to Bilk Clients For Fees

November 03, 2018  |   Posted by :   |   Bank robbery, Failure To Supervise   |   0 Comments

J.P. Morgan Securities LLC a broker-dealer headquartered in New York New York has been censured and fined by FINRA based upon the firm’s consent to findings that it harmed customers by charging them erroneous fees. Letter of Acceptance Waiver and Consent No. 2017053493101 (Oct. 18, 2018). According to the AWC, in 2012, a vendor was […]

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Citizens Securities Accused Of Misrepresentation

April 08, 2018  |   Posted by :   |   Bank robbery, Mutual Fund Fraud, Stockbroker Fraud News   |   0 Comments

Philip Peter Parziale of Boston Massachusetts is a stockbroker currently registered with Citizens Securities Inc. who is the subject of a customer initiated investment related written complaint which settled on October 12, 2017 for $50,000.00 in damages based upon allegations that Parziale made misrepresentations to the customer concerning mutual funds transactions executed in the customer’s […]

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Cetera Advisors Individual Barred In Investigation

January 05, 2016  |   Posted by :   |   Bank robbery, Stockbroker Fraud News   |   0 Comments

Ellen Tracy King, a Stockbroker with Cetera Advisors LLC was barred from associating with association with any Financial Industry Regulatory AuthoritLLCy (FINRA) member in any capacity after consenting to findings that she failed to respond fully to a request for information and documentation by FINRA staff investigating allegations that King robbed bank. Letter of Acceptance, Waiver […]

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