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A recent scam involved a fake signature from FINRA CEO Robert Cook.
February 16
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Thomas Buck spent 33 years with Merrill Lynch before he was fired in 2015.
February 14
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The firm invested the widow's money in oil and gas securities, real estate investment trusts and other investments that did not square with her conservative risk profile, her lawyer argued.
February 13
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Investor advocates laud regulator's newest steps to address the longstanding problem.
February 9
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The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.
February 8
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The regulator found the firm was deficient on capital requirements and, on 84 occasions, did not accurately calculate its customer reserve requirements.
February 5
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The stolen funds allegedly went to pay for college expenses and credit card bills, according to federal prosecutors.
January 31
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The stolen funds went to pay for his daughter’s college expenses and to reimburse other clients, according to federal prosecutors.
January 31
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The two declined to cooperate with investigations into allegations that they engaged in undisclosed outside business ventures.
January 30 -
Frequent recruitment adds to the firm’s bench after stemming an outflow of talent late last year.
January 30
