Dec 20, 2023 | Alabama | broker-dealers | California | Commissions | Florida | Illinois | investors | Massachusetts | Montana | New Jersey Investors | Raymond James Financial Services | restitution | Settlement | Small-Dollar Transactions | Washington | Bureau of Securities | Division of Consumer Affairs | Press Release | Protecting New Jersey Consumers | Protecting New Jersey in Court
The Office of the Attorney General and the Division of Consumer Affairs today announced that the Bureau of Securities has joined a multi-state settlement with two Florida- based broker-dealers that have agreed to pay at least $8.25 million in refunds to investors who were charged unreasonable commission fees on small-dollar transactions.
Jun 15, 2022 | annual examination of investment advisers | broker-dealers | investment | investment advisers | investors | New Jersey’s Uniform Securities Law | securities industry | Bureau of Securities | Consumer Protection | Division of Consumer Affairs | Press Release
For Immediate Release: June 15, 2022 Office of the Attorney General- Matthew J. Platkin, Acting Attorney GeneralDivision of Consumer Affairs- Cari Fais, Acting DirectorBureau of Securities- Amy G. Kopleton, Acting Bureau Chief For Further Information: Media...
