by
Ben Mattlin
Dharmesh Virendra Vora, already barred for three years by the SEC, was charged with fraud by Arizona regulators.
by
Erik Larson
Gary Carruthers jumped to Wells Fargo after 15 years with JPMorgan.
by
Tracey Longo
The agency said its examiners will be on the lookout for improper fees and undisclosed conflicts.
by FA Staff
The agency has sued Baris Cabalar, saying he used improper trading strategies in the accounts of eight customers.
by
Bloomberg News
Fidelity and SEI Investments are among the firms being asked for information.
by
Tracey Longo
Jeffrey Arsenault stole from two private funds to pay for a lavish lifestyle in Greenwich, Conn., the SEC said.
by
Jennifer Lea Reed
Advisor Douglas Kenoyer managed nearly $145 million for 583 clients at Ameriprise before joining LPL.
by
Tracey Longo
A Finra arbitrator wiped complaints that led to $30 million in customer awards from the rep's record.
by
Edward Hayes
The stolen data included names, Social Security numbers and driver's license information.
by FA Staff
The former reps were suspended for trades that led to millions in fees and losses for 13 clients, Finra said.
by
Jacqueline Sergeant
Harry Pappas of Ponte Verdra Beach, Fla., claimed he was wrongfully terminated and defamed by the bank.
by
Jacqueline Sergeant
A Finra panel ruled that the firm failed to properly supervise one of its Miami reps.
by
Tracey Longo
Voters in this year's elections may be the ones who ultimately decide the rule's fate.
by
Tracey Longo
The company agreed to the penalty after self-reporting the Reg BI violations, the agency said.
by
Tracey Longo
The agency needs to be more clear about how firms should comply with communications rules, Morgan Lewis attorneys say.
by
Nicola White
Grewal played a role in the agency's stepped up enforcement under Chair Gary Gensler.
by
Karen DeMasters
The violations included failure to keep track of employees' electronic communications, Finra said.
by FA Staff
The former TD manager who allegedly committed the fraud is facing a criminal trial.
by
Jennifer Lea Reed
Schwab's annual survey also found 70% of advisors are actively engaged in their clients' Great Wealth Transfer.
by
Tracey Longo
The DOL and IRS should crack down on conflicted advice, the government watchdog said.
