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The dispute centered on the firm’s handling of Puerto Rican municipal bonds.
July 24 -
When do promotional materials rise to the level of an official “recommendation” and thereby require additional disclosures by brokers?
July 23 -
The rep helped the customer conceal the true source of funds into his accounts, FINRA claimed.
July 23 -
The rep mismarked 105 trades in five PNC customer accounts as unsolicited when in fact they were solicited, FINRA claimed.
July 17 -
The rep cut and pasted or traced the signatures of 16 customers on more than 70 life insurance and annuity replacement forms and other documents.
July 11 -
The regulator barred an ex-Wells Fargo advisor for fooling the bank into reimbursing him for $3,400 after he falsely claimed that he was the victim of fraud.
July 10 -
The No. 1 IBD cleared him of any wrongdoing then said he still faced the probe after leaving the firm months later, according to the lawsuit.
July 6 -
The rep agreed to a six-month suspension and a $5,000 fine to settle claims that he wrote and deposited checks without sufficient funds to cover them.
July 6 -
Scott Wolas assumed other people’s names to pose as a real estate agent, bartender, retired paleontologist and a registered rep, investigators say.
July 5 -
DaRayl Davis spent client funds on a luxury mansion, theater tickets and car rentals, federal prosecutors say.
June 29