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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
