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A former UBS broker was ordered to pay back the wirehouse $1.75 million of his recruiting bonus the third such million-dollar judgment against him this year.
October 9 -
CFP Board drops investigation into activist planner after he drops CFP certification.
October 9 -
FINRA barred a Chicago-based broker after it was discovered he transferred over $1 million from client accounts into his own over a number of years.
October 8 -
Deutsche Bank AG, the German lender that has pledged to improve controls after criticism from regulators, hired Elizabeth J. Ford from Goldman Sachs Group Inc. as head of compliance for the Americas.
October 8 -
The pool of FINRA arbitrators lacks diversity, and may be biased as a result, claims an investor advocacy group.
October 7 -
An advisor pair that jumped to Merrill Lynch after just four months with Barclays must pay back over $6.6M in hiring bonuses, FINRA rules.
October 7 -
Pension dropouts cause pinch; Baby boomers face doctor shortage; 5 things to know before applying for Social Security
October 7 -
One Morgan Stanley CFP uses her bankruptcy to build bridges to her clients and hone her practice.
October 6 -
Advisor Jo Ellen Fisher, who allegedly stole nearly $1 million from a 95-year-old client, is barred from the industry and has been sued by her former employer.
October 3 -
A former Morgan Stanley advisor must pay the firm nearly $200,000 in owed bonuses, FINRA ruled.
October 3
