Articles Posted in oil and gas

Janney Montgomery Scott fined by FINRA for Oil and Gas MLP Concentration
Greco & Greco, P.C.

FINRA censured, fined, and ordered restitution payments from Philadelphia, Pennsylvania based Janney Montgomery Scott last month. The Letter of Acceptance Waiver and Consent (AWC) discussed how two of Janney’s advisors “recommended that 11 customers unsuitably concentrate their accounts in certain energy-sector securities, including master limited partnerships focused on the exploration or development of natural resources”…

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