Monthly Archives: April 2022
![Gregory Tendrich Gregory Tendrich](https://www.yourstocklawyer.com/wp-content/uploads/2022/03/gt-thumbnail-150x150.jpg)
FINRA gets tough on Private Securities Transactions
In a published article, FINRA suspended a former independent advisor with Ameriprise Financial, Jonathan M. Turner, for three months and imposed a $5,000 fine for failing to provide written notice to the firm that he participated in a private securities transaction in violation of FINRA Rules 3280 and 2010. According to the article, Turner accepted… Read More »