-
The broker hasn't been registered in over a decade, and was using clients’ usernames and passwords to make trades in their self-directed brokerage accounts, according to the regulator.
September 14
-
The former broker allegedly also used his client’s money to pay bills at gas stations, grocery and hardware stores, according to the regulator.
September 11
-
The firm’s National Financial Services allegedly failed to deliver certain basic information to clients in five public offerings of shares in a fuel cell technology company.
September 8
-
The advisor sold securities out of one account to buy a Camaro ZL1 — then resold the car to the same victim, the regulator alleges.
August 31
-
The regulator charged a $1.4 billion hybrid firm over disclosure of its cash sweep arrangements with its clearing firm.
August 18
-
During rapid growth, the firm allegedly failed to detect a cascade of red flags.
August 10
-
The firm allegedly didn't disclose its parent company paid a teacher union entity $10,000 a month “for its exclusive endorsement” as its preferred financial services partner, according to the regulator.
July 29
-
This is the latest case to involve improperly allocating bonds meant for retail customers and instead selling them to other market participants.
July 23
-
The rep defrauded clients with promises of a “lucrative investment” tied to the popstar that would also “help needy people,” according to regulators.
July 8
-
As the industry pushed to comply with the fiduciary rule, new issues emerged.
June 23
