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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 -
The two declined to cooperate with investigations into allegations that they engaged in undisclosed outside business ventures.
January 30 -
The former Edward Jones broker wanted to get back at his competitor for stealing a client.
January 25 -
Investigators say the broker spent his clients’ money on luxury cars and home improvements.
January 24 -
The new law will affect how financial advisors and clients evaluate the pros and cons.
January 23 -
The convicted fraudster allegedly stole more than $270,000 from his victims, including his mother and ex-girlfriend.
January 22 -
Expenses are rising, but revenue is flat as the regulator holds off on raising member fees.
January 18 -
The advisor transferred funds from his sibling's Wells Fargo accounts and deposited them into a jointly owned account that he used to pay off credit card debts and fund home improvements, FINRA claimed.
January 17 -
A working financial planner assumes leadership of the board as its influence in Washington and nationwide hits a high mark.
January 10 -
Complaints lodged against the firm through Dec. 15 dropped 18% from the same period of 2016, federal figures show.
January 5