by FA Staff
Jonathan Vincent Glenn defrauded clients of $2.7 million by diverting profitable trades to favored accounts, prosecutors said.
by FA Staff
Agency examiners failed to find any evidence of Ruben Williams's claims, the SEC said.
by
Jennifer Lea Reed
Finra says the bank has racked up nearly $43 million in such penalties over the past four years.
by
Jennifer Lea Reed
The firm alleges its former advisor is targeting a group of its clients with $90 million in assets.
by
Tracey Longo
The SEC said the firms made false or unsubstantiated claims in their advertisements to investors.
by
Ben Mattlin
Raymond James, JPMorgan, Schwab and UBS have been added to the list of companies sued over cash sweep accounts.
by
Jacqueline Sergeant
A Finra panel concluded that Robert Franden breached the terms of a loan and bonus agreement he signed when hired.
by
Donal Griffin, Rick Green
The Los Angeles-based broker-dealer confirmed it's in talks to sell a majority stake in Great American Group.
by
Tracey Longo
The exams have led to large Wall Street firms paying millions in penalties for using off-channel communications.
by FA Staff
Oppenheimer claims one of its former brokers is trying to recruit the clients of a deceased colleague.
by
Tracey Longo
The New Jersey firms interfered with whistleblower laws when it had clients sign NDAs on compensation, the agency said.
by
Lydia Beyoud, Madlin Mekelburg
The rules required private fund managers to give investors more details about quarterly fees and expenses.
by
Jennifer Lea Reed
Many of Thomas Demergian's victims were elderly and "vulnerable" clients he had befriended, the sentencing judge said.
by
Gus Dimopoulos
Here are six strategies to help safeguard clients' business assets when marriages come apart.
by
Tracey Longo
The DOL and IRS should crack down on conflicted advice, the government watchdog said.
by
Lydia Beyoud
The senator called the decline part of a "deliberate deregulatory effort."
by
Jacqueline Sergeant
It was the first ruling in an effort by JPMorgan to recoup $90 million in bonus agreements from 16 advisors.
by
Jennifer Lea Reed
The firms failed to guard against trading designed to manipulate markets, Finra said.
by
Tracey Longo
Attorneys say court stays on the rule are likely to remain in place until after the presidential election.
