Displaying 1932 results
Finra panel orders Raymond James to pay former broker more than $500,000 for defamation
Arbitrators include $100,000 sanction for firm's foot-dragging in producing documents.
Finra fines J.P. Morgan $1.1 million for failing to disclose broker misconduct in timely manner
Agency says when the firm did file information, it came on average two years late.
Finra bars veteran broker for creating false account statements
A multiyear scheme of creating false account statements has resulted in veteran broker Clayton Wertz being permanently…
Finra panel orders UBS to pay $555,000 to 91-year-old widow for losses tied to Ponzi scheme
UBS spokesman: Former broker sold investments 'that were not approved by UBS'
Finra bars ex-Janney broker for stealing $411,000 of client’s cash
Apostolos Pitsironis used 22 ACH transfers over two months to take money from a Janney securities account, according to regulator.
LPL fired Mark Lamkin. Now he’s fighting back
Kentucky adviser is confident he will overcome the conflicts he's facing in life after LPL.
Virginia poised to ban mandatory arbitration clauses for state-registered advisers
State regulator said limitation is 'contrary to fiduciary duty.'
Finra will defer to SEC on interpreting best interest rule
Finra CEO Cook: 'It's not our rule. It's an SEC rule.'
Finra arbitrators award more than $3 million to three former Credit Suisse brokers
Reps joined J.P. Morgan instead of Wells Fargo after shutdown of CS wealth management unit.
Former Morgan Stanley, Wells Fargo rep pleads guilty to adviser fraud
Elias Hafen stole 'hundreds of thousands of dollars' from clients.
Finra arb panel orders TD Ameritrade to pay $720,816 over alleged lack of oversight of RIA
Investor claims custodian didn't do due diligence on adviser charged with securities fraud.
Finra bars former Allstate broker for using employee’s IRA money
Kari Ann Buckles kept $2,264 she was supposed to deposit, Finra says.
Finra bars former Securities America rep in private-securities sale query
Bobby Wayne Coburn declined to appear at hearing looking into allegations.
SEC upholds Finra bar despite recent Supreme Court ruling
Agency said high court's decision in Kokesh only applies to monetary sanctions.
Finra department alleges Allstate rep took $2,500 from widow for trip to Spain, spa massages
Complaint requests that Finra impose sanctions on Jesse Gil
UBS hit with $4.4 million arb award over Puerto Rico bonds and funds
Finra panel gives UBS investors $4.25 million in damages, $170,000 in costs.
Finra fines former Morgan Stanley rep for impersonating a client
To transfer retirement funds, John Tillotson faked identity in call to mutual fund company.
Insurgent Chris Flint wins contested Finra election for big-firm board seat
Linde Murphy wins small-firm board seat that was also subject of contested election.
Broker barred for excessive trading that cost clients $1.8 million
Gregory T. Dean had admitted guilt a few weeks ago in a different case brought by the SEC.
Finra fines, suspends ex-Cetera broker for Woodbridge-related transactions
Roger Owens agrees to $10,000 fine and to return almost $60,000 in commissions.
