The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Don Ingram (also known as Donnie Eugene Ingram) [CRD: 1416971, Winter Haven, FL]. Not only has FINRA filed an enforcement action against Ingram, but investors disputed Ingram’s sales practices. However, Ingram denies the allegations of sales practice violations. Read on to learn more […]

It was reported on FINRA's BrokerCheck that in October of 2012, Clyde Marshall Thornburg, CRD# 1065161, was permanently barred from association with any FINRA member in any capacity by FINRA. Thornburg allegedly traded UITs (Unit Investment Trusts), corporate debt obligations, and mutual funds in his customers’ accounts. FINRA found that Thornburg executed trades that were […]

 In a November 15th., 2011, Bloomberg Businessweek article they write that a unit of JPMorgan Chase & Co. was ordered to reimburse investment customers more than $1.9 million and was fined $1.7 million over how it sold unit investment trusts and floating-rate loan funds. FINRA, the Financial Industry Regulatory Authority announced the settlement on Tuesday after […]