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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
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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
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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
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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
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Lower transaction costs can often come with higher expense ratios at the nation’s largest IBD.August 26
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It’s the latest dramatic twist in the story of USO, which was at the center of the storm as crude prices plunged earlier this year.August 20
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The regulator charged a $1.4 billion hybrid firm over disclosure of its cash sweep arrangements with its clearing firm.August 18
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During rapid growth, the firm allegedly failed to detect a cascade of red flags.August 10
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If planners can navigate data security and compliance concerns, the app can connect them with a huge new audience.July 29
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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
