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The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.
April 4
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The new hires join the regional BD from Baird.
March 15
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The value of equities has risen to a level not seen since the dot-com bubble.
March 7
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The firm also recruited an international wealth management team that oversaw $576 million, according to our latest roundup of recent hires and moves.
March 6
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The three recruits all have past work experience at A.G. Edwards.
February 27 -
An adviser at the firm squandered the aging clients' retirement money on oil and gas investments and Puerto Rico bonds, their lawyer said.
February 16
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The new hires are both industry veterans of more than two decades.
February 14
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Ronald Kruszewski says a shift in the size of transition packages, made in response to the fiduciary rule, "benefits us competitively."
January 31
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The firm's latest hire had spent 17 years at Raymond James and its predecessor firm, Morgan Keegan.
January 24 -
Plus: A Morgan Stanley grab totals $410 milllion in combined AUM and more than 30 other job changes.
January 10
