Tag Archives: Investment Centers of America

Brokerage Firms Censured For Overcharging Customers

March 07, 2017  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

Financial Industry Regulatory Authority (FINRA) member broker dealers, including Invest Financial Corporation, SII Investments, Investment Centers of America, and National Planning Corporation, have all been censured and fined by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firms overcharged charitable organization and retirement account customers in mutual funds transactions, and did […]

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