Tag Archives: J.P. Turner

J.P. Turner Fined and Censured For Failure to Supervise

J.P. Turner & Co, recently acquired by Cetera, has over 360 registered representatives and over 150 branch offices nationwide. J.P. Turner’s history with securities regulators is substantial. For example, in December 2013, J.P. Turner consented to a sanction consisting of a censure and restitution in the amount of almost $1 million for the failure to […]

Read More »

J.P. Turner Fined $250,000 For Failure To Supervise Commissions

October 31, 2008  |   Posted by :   |   Failure To Supervise, Stockbroker Fraud News   |   0 Comments

Washington, D.C. – The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a $250,000 fine against J.P. Turner & Company, LLC of Atlanta, GA, for failing to have an adequate supervisory system designed to ensure that its registered representatives charged customers fair and reasonable commissions on stock trades. As part of the […]

Read More »