-
The former planner says she was wrongfully terminated and that she did not agree to settle with the wirehouse.
February 8 -
A husband and wife alleged they were advised to cash out nearly $1 million of their pension money for risky investments, according to their lawyer in FINRA arbitration.
January 12 -
The problem began when a hyperlink was missing from where clients were accustomed to reviewing their transactions online.
December 5 -
A planner's lawsuit claims the bank improperly funneled $3 billion into its own target-date funds.
November 30 -
The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.
November 23 -
The former broker is accused of making false claims about his client list at Stifel to earn a compensation advance from another firm.
November 21 -
A settlement with Bank of America covers 270 employees who were terminated following the wealth management firm's 2008 acquisition.
September 9 -
Edward Wedbush allegedly failed to supervise mandated regulatory filings.
August 25 -
It begins with recognizing that this is a critical investment for succession planning and cultivating the next generation of clients.
August 22 -
The platform provider has added an estimated $1 billion in assets in two months.
August 17