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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 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
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Other states are likely to enter similar agreements with the broker-dealer.
June 13
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The parade of ousted bank advisors continues, but unlike previous offenses, this time it involves far less money.
June 8
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The broker used the funds to pay his mortgage, FINRA claimed.
June 6 -
While such an act may seem like career suicide, it can in fact be a move to do just the opposite, according to attorneys.
June 5
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Co-chiefs of the SEC’s Division of Enforcement tout a program aimed at repaying investors for excessive mutual fund fees as a new approach to curbing industry abuses.
May 17
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State regulators and the No. 1 IBD struck a settlement after investigators found the firm guilty of negligence and a failure to supervise.
May 2
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The broker misappropriated his clients’ investment money for rent, credit card bills and other personal uses, investigators say.
April 2
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The two IBDs have agreed to pay restitution in one of the largest securities fraud cases in the advisor’s home state.
March 21
