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Scott Wolas assumed other people’s names to pose as a real estate agent, bartender, retired paleontologist and a registered rep, investigators say.
July 5
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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 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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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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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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Allegations of undisclosed private securities transactions by a former advisor followed two significant mutual fund cases involving the IBD network’s practices.
May 1
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Former CEO Mark Casady disclosed in arbitration testimony what led to the firing that resulted in a $30 million claim against the firm.
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The Justice Department disclosed a felony probe the day before the broker’s termination.
April 6
