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RayJay to Name Wirehouse Vet Bert White to Run Expanded Florida Complex

RayJay to Name Wirehouse Vet Bert White to Run Expanded Florida Complex

Same Annuity, Same Broker, Same Arbitrator = Another Client Victory

Same Annuity, Same Broker, Same Arbitrator = Another Client Victory

4/21/17 | News

Ordered last week to pay $1.1 million to a client for a broker’s allegedly fraudulent product, independent broker-dealer Wilbanks is hit with another $130,000 finding this week over same broker and product.

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Morgan Stanley’s Friday Bingo: Merrill and Wells Brokers Join in Greater NYC

Morgan Stanley’s Friday Bingo: Merrill and Wells Brokers Join in Greater NYC

4/21/17 | Advisor Moves

$1.7-million advisor in New York City and $700K advisor in New Jersey move their solo practices.

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Smaller Brokerage Forces, Bigger Advisory Numbers

Smaller Brokerage Forces, Bigger Advisory Numbers

4/21/17 | News

Banks assert that changing wirehouse culture bore fruit in the first quarter.

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Enforcement Wire
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Former Advisor Gets Home Detention, Fine for Obstructing SEC Investigation

Former broker who was once a top advisor in Connecticut must serve four months of home detention for misleading investigators, according to a release.

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PNC Ordered to Pay Ex-Broker $1.8 Mln Over Wrongful Termination

Broker vindicated after firm “failed to produce any evidence” she had violated firm policy, panel says.

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B-D Wilbanks Securities Ordered to Pay Client $1 Mln

Parties: Grace S. Huitt v. Wilbanks Securities Inc. Case Summary: Claimant asserted the following causes of action in the Statements…

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Ex-Wells Broker Refuses to Testify, Accepts Bar

Broker declines to participate in Finra investigation into allegedly unauthorized trades in two accounts.

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