Citigroup, Morgan Stanley, UBS, Wells Fargo Sanctioned by FINRA for Selling Risky ETFs
We’re a little behind on our posts lately due to a serious family illness. That’s why we only just saw the May 1 notice from the Financial Industry Regulatory Authority (FINRA) that it recently assessed Citigroup; Morgan Stanley; UBS; and Wells Fargo Advisors a total of more than $9 million in sanctions and restitution for …