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A former Chase bank-based financial advisor won the arbitration award as critics say giant brokerages abuse U5 termination disclosures.
February 15
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Board members and executives from FSI share updates on its legislative agenda, their thoughts on private equity investing and insights into other key industry topics.
February 11
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About 20% of FINRA client arbitration awards are unpaid every year, but there are signs that the former First Standard clients could receive some restitution.
February 11
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German Nino concealed fraud losses totaling $5.8 million through fake account statements and other doctored documents, investigators say.
January 26
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A client received damages, interest and attorney fees as wealth managers await more fallout from a major fraud case.
January 25
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CEO Robert Cook discussed the regulator’s priorities for 2022 as clients and the industry await action in three key areas.
January 19
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A 53-year veteran broker who filed a complaint as a client after airline stock values plummeted has received a $595,000 settlement.
January 13
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The regulator has charged about 100 other wealth managers with failing to explain 12b-1 fees tied to their mutual fund recommendations.
January 12
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Raymond James resolved a million-dollar arbitration claim that won’t appear on anyone’s BrokerCheck, thanks to the panel’s decision.
January 11
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The combination of technology and rising client interest in digital assets are ratcheting up the risks to investors, according to NASAA.
January 10
