Tag Archives: Comerica Securities Inc.

Comerica Securities Pays For CMO Misconduct

Nancy Ruth Gabany of Sugarland Texas a stockbroker currently registered with Comerica Securities is the subject of a customer initiated investment related written complaint which was resolved for $9,864.58 on September 21, 2018 founded on allegations that Gabany made unsuitable investment recommendations to the customer regarding collateralized mortgage obligation bonds. Financial Industry Regulatory Authority (FINRA) Public […]

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Wunderlich Securities Stockbroker Suspended For Unauthorized Trading

November 18, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Peter J. Neary, of Plymouth, Michigan, a stockbroker formerly with Wunderlich Securities, was fined $5,000.00 and suspended by Financial Industry Regulatory Authority (FINRA) after consenting to findings that he effected unauthorized discretionary trades in a customer’s account. Letter of Acceptance, Waiver and Consent, No. 2015044491201 (Nov. 3, 2016). Per the AWC, between July of 2012 […]

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Five Major Brokerage Fined for Failure to Supervise Mutual Fund Fraud

November 15, 2015  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

Ameritas Investment Corp., Cetera Advisors LLC, Comerica Securities, Inc., Fifth Third Securities, Inc., First Allied Securities, Inc., Park Avenue Securities, LLC, Securities America, Inc., Huntington Investment Company, Cetera Advisor Networks LLC, Commonwealth Financial Network, MetLife, and Infinex Investment, Inc., were all recently censured and fined by Financial Industry Regulatory Authority (FINRA) for failing to apply […]

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