Sarah Wynn covers securities and infrastructure for the Washington bureau.
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Constantinos Maniatis exercised discretion in seven customer accounts despite the firm no longer allowing discretionary trading, the regulator said.
By Sarah WynnApril 29 -
Hilltop was fined a total of $475,000, with $100,000 pertaining to violations of municipal securities rules.
By Sarah WynnJuly 29 -
This is the latest case to involve improperly allocating bonds meant for retail customers and instead selling them to other market participants.
By Sarah WynnJuly 23 -
Charles Doraine settled with the Financial Industry Regulatory Authority on Monday without admitting or denying FINRA’s findings.
By Sarah WynnApril 28 -
Her hospitalized client's accounts had more than $14 million in transactions over a nine day period, according to FINRA.
By Sarah WynnOctober 23 -
Muni bonds are giving younger investors the opportunity to put their money to work in ways that they value.
By Sarah WynnJanuary 11