Tag Archives: ETF Trades

FINRA: ETF Trades from Representative Cost Customers $8.4 Million

A former representative from WFG Investments, Inc., agreed to a court decision that he be barred from the securities industry as penalty for recommending trades in particularly risky, nontraditional exchange-traded funds (ETFs). These funds led to about $8.4 million in losses to customers. This settlement was filed by the Financial Industry Regulatory Authority (FINRA). According […]

By Steve Kardell | Published October 30, 2017 | Posted in Whistleblower Litigation | Tagged ETF Trades, FINRA, Inc., WFG Investments | Comments Off on FINRA: ETF Trades from Representative Cost Customers $8.4 Million

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Tag Archives: ETF Trades

FINRA: ETF Trades from Representative Cost Customers $8.4 Million

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