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WARNING! Impending Investigation–HUNTLEIGH SECURITIES CORP. and ETFs

Tag Archives: Huntleigh Securities Corp.

09
Sep

WARNING! Impending Investigation–HUNTLEIGH SECURITIES CORP. and ETFs

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Huntleigh Securities Corp. and ETFs We are currently investigating allegations made against Huntleigh Securities Corp., a St. Louis, Missouri-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Huntleigh Securities, alleging that Huntleigh failed to establish and maintain an adequate supervisory system regarding leveraged and inverse ETFs.  Huntleigh consented to ...

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