Unit Investment Trusts Archives - Securities & Investment Lawyer

Jeff Marzolf Facing Allegations of Unsuitability and Unauthorized Trades

Sep 3, 2021 Investor Disputes

Jeff Marzolf (CRD #: 1946939), a broker registered with Raymond James Financial Services, is involved in an investor dispute, according to his BrokerCheck record, accessed […]

Chance Carson Fined By the SEC Following Allegations of Unnecessary Sales Charges

Aug 27, 2021 Regulatory Action

Chance Carson (CRD #: 41892), a broker registered with Intervest International Equities Corporation, is the subject of an SEC fine, according to his BrokerCheck record, […]

Gary Bowman Subject of FINRA Fine and Suspension

Aug 24, 2021 FINRA Fine

Gary Bowman (CRD #: 2035699), a broker previously registered with Sagepoint Financial, has been suspended by FINRA, according to his BrokerCheck record, accessed on August […]

Kelly Feehrer Fined and Suspended By FINRA

Jul 16, 2021 AWC

Kelly Feehrer (CRD #: 1470328), a broker registered with Merrill Lynch, Pierce, Fenner & Smith in Chattanooga, Tennessee, has agreed to a FINRA fine and […]

Unit Investment Trusts

Jeff Marzolf Facing Allegations of Unsuitability and Unauthorized Trades

Chance Carson Fined By the SEC Following Allegations of Unnecessary Sales Charges

Gary Bowman Subject of FINRA Fine and Suspension

Kelly Feehrer Fined and Suspended By FINRA

Categories