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The reps join a slew of others who chose not to cooperate with FINRA investigations — at least 21 since 2017 — and therefore agreed to an automatic ban.
May 30 -
The bank subjected the advisor to disparate treatment and made conditions so intolerable that he had no choice but to leave, the advisor claimed in a lawsuit.
May 15 -
The advisor is the latest to join the high-end wealth manager.
May 14 -
The advisor had been with Wells Fargo for only two years, having previously worked at Credit Suisse.
April 30 -
The private equity firm’s credit arm grew significantly with the addition of a new insurance platform and an energy investment management unit.
April 19 -
In addition to winning a $25,000 award, ex-J.P. Morgan rep Mihail Naumovski was able to expunge erroneous information on his Form U5 that he violated investment-related regulations.
April 4 -
Barry Snyder’s complaint depicts him as a victim of federal investigators and the bank, with both sides threatening to turn on him.
April 2 -
The two declined to cooperate with investigations into allegations that they engaged in undisclosed outside business ventures.
January 30 -
They were previously part of a team that oversaw $2 billion in assets.
January 17 -
As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.
December 27