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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
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The research firm’s annual survey included new queries reflecting changes in the industry.
March 29
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Fearing the broker would leave, Citi distorted incidents he had with two colleagues in order to fire him and take his $200 million book of business, the broker’s lawyer says.
March 15
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The rep borrowed $528,000 from a SunTrust client without the bank’s prior written approval, FINRA alleged.
March 1
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The advisor lured the client into investing $100,000 in what he claimed was a private placement bond but instead deposited the money into his personal bank account, say federal prosecutors.
February 27
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The advisor fleeced the duo of nearly $1 million by misappropriating their stock holdings and initiating unauthorized wire transfers from their bank account, prosecutors allege.
February 26
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The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.
February 20
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Robert Moore divided the firm's six IBDs into two channels, promoted a new COO and hired from a rival.
February 13
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L&N Federal Credit Union was looking for a boutique-style firm following Invest's acquisition by LPL.
February 5
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Texas securities watchdog derided the advisor for not considering the costs associated with an equity trading strategy he employed for certain clients.
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
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The former Edward Jones broker wanted to get back at his competitor for stealing a client.
January 25
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A working financial planner assumes leadership of the board as its influence in Washington and nationwide hits a high mark.
January 10
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The advisor claimed the bank placed a slanderous statement in his form U5, preventing him from finding a new job.
January 5 -
The rep used his own money to pay the customer the interest she expected on a brokered certificate of deposit.
December 27
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The duo recommended an investment strategy that was overly concentrated in four speculative equity securities to more than 50 customers, FINRA alleged.
December 13
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Which banks and credit unions are advisors moving to? Eight recently jumped to Union Bank, Wilmington Trust and other institutions from J.P. Morgan Chase, PNC Bank, Wells Fargo and City National Bank, among others.
December 5
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The 22 million Gen X and Gen Y clients banking with Wells are a competitive advantage for its digital advice platform, executives say.
November 6
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Clients can enjoy their later years without the worries of work, but will also lose the additional earnings.
November 3
