Eric Rasmussen

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Ex-Morgan Stanley, Schwab Broker Arrested For Possessing Child Pornography

by FA Staff

Randall B. Kiefner was arrested on April 5. He'd recently won an arbitration claim from Morgan Stanley.

Finra Bars Securities America Rep, Claiming He Took $135K From Customer Bank Account

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Finra barred Michael P. Raineri of Seattle, in a case that involved the supposed reimbursement of client expenses.

Betterment Agrees To Pay $9M To Settle SEC Charges

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The agency said the robo's errors caused clients to lose $4 million in potential tax savings.

Morgan Stanley Fights Arbitration Claim, Says Arbitrator Slept During Hearing

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An ex-employee of the firm won the case saying the bank discriminated against older white males.

Mercer Bolsters Pa. Presence With Purchase Of $330M Firm Andesa

by FA Staff

The Allentown firm was founded in 2004.

2023 Independent Broker-Dealer Survey: IBDs Invest In Reps' Succession

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As the world changes, the bonds tying broker-dealers to their reps might have to be broken to be reset.

2022 Was Good For Annuities; 2023 Stands To Be Better

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CFRA Research says annuities have winds at their back from the SECURE Act and interest rates.

Former Partner At N.J. Broker-Dealer Charged With $3.4 Million Insider Trading Scheme

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Christopher Matthaei got tips on SPAC deals from a friend at a Toronto-based asset manager, the DOJ said.

Andy Sieg Leaves Merrill Lynch (Again) For Citigroup

by FA Staff

Sieg, who headed Merrill Lynch Wealth Management, rejoins Citi's global wealth arm.

N.Y. Advisor Arrested For Alleged $4M Securities Fraud

by FA Staff

Federal prosecutors allege Roshan Perera of Queens used his client's money for personal expenses and day trading.

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