Updated Monday, July 28, 2014 as of 6:19 AM ET
Practice - Regulatory/Compliance
FINRA Slaps Stifel, Century Securities With $1M Fines
by: Andrew Welsch
Thursday, January 9, 2014
Partner Insights

FINRA ordered Stifel, Nicolaus and Century Securities Associates to pay fines and restitution totaling more than $1 million for allowing its advisors to make unsuitable recommendations of two types of highly risky ETFs to clients, and for failing to train and supervise its advisors on the complexities of the two funds.

Get access to this article and thousands more...

All Financial Planning articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

2014 Summer Reading List for Advisors

Current Issue

The July Issue is now online!


Industry Events

August 10, 2014 |

September 9, 2014 |

September 17, 2014 |

September 20, 2014 |

September 28, 2014 |

Already a subscriber? Log in here