Andrew Welsch is a former managing editor of Financial Planning.
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The former broker, who pleaded guilty to securities fraud last month, allegedly promised clients returns of up to 15% and used proceeds for personal expenses.
January 4 -
The new recruit, who started with the wirehouse's predecessor firm Smith Barney, has been in the industry since the late 1990s.
January 4 -
The new recruits previously generated $1.5 million in annual revenue at UBS, according to the regional brokerage firm.
December 22 -
The adviser had been employed with the firm for seven years prior to her dismissal, and had no disclosures on her BrokerCheck record.
December 22 -
The regulator said "significant deficiencies" affected hundreds of millions of records.
December 21 -
Both recruits have more than two decades of experience.
December 20 -
The new hires opened two offices for the regional BD.
December 19 -
The fast-growing firm has recruited 25 advisers this year, and is affiliated with Raymond James.
December 19 -
"I lose years of my life. They can settle, write a check and move on," says an adviser whose book of business dropped by $40 million after he alleges he was wrongfully terminated.
December 19 -
The wirehouse will leave its core pay grid untouched for 2017.
December 15