Month: January 2012

Merrill Lynch Pays the Piper for Failing to Arbitrate Promissory Note Disputes

By George C. Miller — posted in Financial Advisor & Broker Disputes, Securities Arbitration & Litigation on Thursday, January 26, 2012.

Arbitration Compensation Financial Advisors

As the latest in a series of large fines levied against the nation’s few remaining wirehouse firms in early 2012,…

FINRA Fines Citigroup $725,000 for Failure to Disclose Conflicts of Interest

By George C. Miller — posted in Regulatory Enforcement & Investigations, Securities Regulation & Compliance on Thursday, January 19, 2012.

Disciplinary Actions FINRA

FINRA started the new year off by levying a $725,000.00 fine against Citigroup Global Markets, Inc., for failing to disclose…

San Diego’s “Investment Placement Group” Pays $4 Million to Settle SEC Charges

By George C. Miller — posted in Regulatory Enforcement & Investigations on Tuesday, January 3, 2012.

Enforcement Actions SEC

Investment Placement Group (IPG), an independent brokerage firm headquartered in downtown San Diego, agreed in late December to pay the…