WILBANKS SECURITIES, INC. - Financial Industry Regulatory Authority NASD RULES 2110, 3010(C)(1)(C), 3070, 3110 -WILBANKS, ACTING ON BEHALF OF HIS MEMBER FIRM, FAILED TO SPECIFY A CYCLE FOR THE INSPECTION AND FAILED TO CONDUCT INSPECTIONS OF NON-BRANCH LOCATIONS IN ITS WRITTEN SUPERVISORY PROCEDURES AS REQUIRED BY NASD RULE 3010 (C)(1)(C)
CENTER STREET SECURITIES, INC. - Financial Industry Regulatory Authority All firms registered to sell securities or provide investment advice are required to disclose regulatory actions, criminal or civil judicial proceedings, and certain financial matters in which the firm or one of its control affiliates has been involved For your convenience, below is a matrix of the number and status of disclosure events involving this brokerage firm or one of its control
VESTECH SECURITIES, INC. - Financial Industry Regulatory Authority BrokerCheck reports for individual brokers include information such as employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards BrokerCheck reports for brokerage firms include information on a firm’s profile, history, and operations, as well as many of the same disclosure events mentioned above
FIDELITY DISTRIBUTORS COMPANY LLC Types of Business Other - FIDELITY DISTRIBUTORS COMPANY LLC ("FDC") IS THE PRINCIPAL UNDERWRITER AND GENERAL DISTRIBUTOR OF SHARES IN THE FIDELITY FAMILY OF INVESTMENT COMPANIES AND FIDELITY EXCHANGE-TRADED FUNDS FDC MARKETS PRODUCTS TO CERTAIN THIRD-PARTY FINANCIAL INTERMEDIARIES AND INSTITUTIONAL INVESTORS IN ADDITION, FDC SERVES AS A PLACEMENT AGENT AND, ON BEHALF OF CERTAIN INVESTMENT
VISION FINANCIAL MARKETS LLC BrokerCheck reports for individual brokers include information such as employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards BrokerCheck reports for brokerage firms include information on a firm’s profile, history, and operations, as well as many of the same disclosure events mentioned above
WOLVERINE EXECUTION SERVICES, LLC FINALLY, WOLVERINE ALLEGEDLY VIOLATED FINRA RULES 3110(A) AND (B) AND 2010 BY FAILING TO ESTABLISH AND MAINTAIN SUPERVISORY SYSTEMS, INCLUDING WRITTEN SUPERVISORY PROCEDURES (WSPS), REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE ABOVE-CITED RULES
GROVE POINT INVESTMENTS, LLC BrokerCheck reports for individual brokers include information such as employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards BrokerCheck reports for brokerage firms include information on a firm’s profile, history, and operations, as well as many of the same disclosure events mentioned above
QUESTAR CAPITAL CORPORATION FINRA ALLEGED THE FIRM VIOLATED NASD CONDUCT RULE 3010, FINRA RULE 3110 AND FINRA RULE 2010 BETWEEN JULY 1, 2009 AND NOVEMBER 1, 2016 DURING THIS TIME THE FIRM DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE
CENTAURUS FINANCIAL, INC. FINRA ALLEGES THAT BETWEEN SEPTEMBER 2016 THROUGH SEPTEMBER 2018, CENTAURUS FAILED TO REASONABLY SUPERVISE A REGISTERED REPRESENTATIVE'S RECOMMENDATIONS OF UITS, A PREFERRED STOCK AND A BDC IN VIOLATION OF FINRA RULES 3110(A) AND (B) AND 2010