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Government Dings Citi for $97 Million

Whose Client Is It? Morgan Stanley Wins TRO Against Janney Jumpers

Whose Client Is It? Morgan Stanley Wins TRO Against Janney Jumpers

5/22/17 | News

Court blocks $1.8 million team from soliciting clients they allegedly inherited from a former broker at their old firm.

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LPL and Former Broker Attract Class-Action Lawsuit

LPL and Former Broker Attract Class-Action Lawsuit

5/22/17 | News

Two LPL clients in Texas seek over $1 million in damages in court, claiming churning and overcharging for mutual funds.

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Another Pro Athlete Fraud Suit and Other Top Stories

Another Pro Athlete Fraud Suit and Other Top Stories

5/21/17 | News

Most popular stories and comments from May 15th through 20th.

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Morgan Stanley Poaches Two of Jefferies Top Four Brokers

Morgan Stanley Poaches Two of Jefferies Top Four Brokers

5/19/17 | News

Duo in Atlanta with more than $9 million of production move to wirehouse after nine years with the smaller firm.

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Oppenheimer Broker Suspended over Unsuitable ETF Trades

Finra alleged Pennsylvania broker made unsuitable trades in non-traditional ETFs for conservative customer.

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Commonwealth Broker Suspended for Trading in Deceased Client’s Account

Broker made 40 trades before informing his firm that his client had died, Finra alleged.

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Finra Charges Indie Broker over $50k Loan from Client

Broker allegedly violated Commonwealth and Cetera’s prohibition against borrowing from clients and gave false information to Finra.

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Ex-Raymond James Broker Barred for Unauthorized Trading

Among the violations, broker made 900 trades in one client’s account without their knowledge or authorization, Finra said.

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