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A FINRA arbitration claim followed an asset freeze and the launch of a federal investigation into the fired advisor’s RIA.
June 27
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The banker was accused of directing a scheme that tacked hidden fees onto billions of dollars’ worth of trades by sovereign funds and other investors.
June 27
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Can an RIA take the first bite of the apple when it comes to a dually registered rep’s brokerage commissions?
June 26
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The firm arranged to make transactions differently on the days that it was required to calculate its reserve deposits, the regulator says.
June 22
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The firm agreed to settle and admitted wrongdoing, according to the regulator.
June 20
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Some of the proceeds went to commission a song with the lyrics: “Pop champagne in L.A., New York to Florida; buy another bottle just to spray it all over ya,” says the SEC.
June 19
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The client, who was the co-founder of the HSN, suffered from dementia and was declared legally incompetent, according to a FINRA letter of acceptance, waiver and consent.
June 19
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FINRA plans to unveil a new user interface for its central registration depository system on June 30.
June 15
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The move is an early indication of how firms may react to the demise of the Labor Department regulation.
June 15
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The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.
June 14
