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INVESTOR ALERT! ProEquities, Inc. Settles with FINRA Regarding Sales of ETFs

Tag Archives: ProEquities Inc.

09
Aug

INVESTOR ALERT! ProEquities, Inc. Settles with FINRA Regarding Sales of ETFs

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INVESTOR ALERT!  ProEquities, Inc. Settles with FINRA Regarding Sales of ETFs

ProEquities, Inc. Settles with FINRA Regarding Sales of ETFs   We are currently investigating allegations made against ProEquities, Inc., a Birmingham, Alabama-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against ProEquities, making numerous allegations regarding its conduct, including: a) failure to supervise the sales of non-traditional ETFs; b) failure ...

26
Aug

WARNING! Impending Investigation: HARRY A. WARD and SECURITIES AMERICA, INC.

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Harry A. Ward and Securities America, Inc. Have you lost money with financial advisor Harry Ward of Cape Girardeau, Missouri?  We are investigating allegations made the Missouri Securities Division, against Harry A Ward. The Missouri Securities Division suspended Ward’s securities license in Missouri for 10 years following its investigation. The Missouri Securities Division alleged that ...

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