Prudential Investment Management Fined for Inaccurate Investment Information
The firm has consented to a FINRA censure and a fine, based on allegations that it provided inaccurate expense and...
Tag: FINRA
FINRA Fines AXA for Misrepresentations to 401(k) Plans About Bond Funds
FINRA accuses AXA of providing documents to plan sponsors and participants that misrepresented the credit quality of certain bond funds...