Tag Archives: Nicholas Cioffi

AISG Sanctioned By FINRA For Failure To Supervise CMOs

April 18, 2021  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   Comments Off on AISG Sanctioned By FINRA For Failure To Supervise CMOs

American Independent Securities Group LLC (AISG) a securities broker dealer headquartered in Eagle Idaho together with AISG securities principals Ryan Carlson and Nicholas Cioffi have been sanctioned by Financial Industry Regulatory Authority (FINRA) based upon findings that they failed to supervise the sales of collateralized mortgage-backed securities (CMOs) resulting in losses to customers. Letter of […]

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