Industry focused content and breaking news.

UBS, Morgan Stanley Teams in Texas Merge into Independence

PKS Penalized $4.2 Million over Broker’s Abuses with Michigan Tribe

PKS to Pay $4.2 Million for Alt Product Sales to Michigan Tribe

2/22/17 | News

Advisor and firm sold Native American group $190 million of nontraded REITS and BDCs over 3.5 years, reaping $11 million of commissions.

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Fired Wells Broker in Pasadena Lands at Independent Firm

Fired Wells Broker in Pasadena Lands at Independent Firm

2/22/17 | Advisor Moves

John Bodovitz, “separated” in December over concerns about his trading, joins Western International.

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Wells Fargo Broker Loses Career for Parking His Car on Company’s Dime

Wells Fargo Broker Loses Career for Parking His Car on Company’s Dime

2/21/17 | Enforcement

Finra bans Cincinnati broker for about $730 worth of forged garage validations.

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Panel Slaps UBS with $9 Million Judgment in Puerto Rico Case

2/21/17 | News

Arbitrators cite UBS’s “extreme recklessness and indifference” in sales of closed-end bond funds and use of non-purpose loans to buy more debt.

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SEC Charges Adviser with Stealing $900K from Client’s Account

Parties: Securities Exchange Commission vs. William P. Carlson Jr. Registration Background: Carlson first became an investment advisor with SEC-registered investment…

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Wells Fargo Advisors Wins $185K in Promissory Note Case

Claimants: Wells Fargo Advisors, LLC Respondent: Thomas Michael Dilello Nature of Dispute:  Member vs. Associated Person Overview of Allegations: Wells…

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Ex-Merrill Broker Suspended Over Alleged Mishandling of Client Info: Finra

Parties: Financial Industry Regulatory Authority Department of Enforcement vs. Arturo Fernando Alcocer Romo Background: Romo first entered the securities industry…

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Ex-Wells Fargo Broker Suspended Over Improper Cash Deposits

Parties: Financial Industry Regulatory Authority Department of Enforcement vs. Joseph Focil Background: Joseph Focil first entered the securities industry in…

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