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A federal judge signed off on sanctions against IFS Securities Inc.'s former head trader for allegedly pocketing phony commissions and unauthorized trades that bankrupted the firm.
November 3
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FINRA said the firm failed to detect and resolve short positions in municipal securities
October 5
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Keith A. Wakefield's alleged unauthorized and speculative trading at the former IFS Securities Inc. and his attempts to cover it up drew charges Thursday from the SEC and U.S. Attorney's office.
September 30
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A firm and its two principals have been charged for an improper fee-splitting arrangement under the relatively new regulatory regime for municipal advisors.
September 23
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The settled proceeding against Anthony Falsetta, announced Tuesday, is the latest in a string of SEC cases targeting violations of retail order periods.
August 31 -
Alleged supervisory failures led to unsuitable trading patterns of Puerto Rico and other bonds, FINRA found.
July 15 -
FINRA arbitrators ordered the wealth manager and closed-end funds manager to pay damages as it resolves outstanding claims stemming from the island’s fiscal crisis.
May 21
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Other detention centers and prisons operating near the U.S.-Mexico border have undergone similar IRS audits the last couple of years in which issuers have agreed to convert their bonds from tax-exempt to taxable.
March 26
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Jeffrey Fladell, who retired from RBC Capital Markets in 2017, agreed to pay that fine while neither admitting nor denying FINRA's charges.
March 26 -
Robbi Jones, principal at Kipling Jones & Co., received that ruling on appeal from FINRA’s National Adjudicatory Council late last month.
January 4
