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Finra Hits UBS (Again) Over Unjustified Mutual Fund Sales Charges

Fired UBS Broker Embroiled in Non-Solicit Spat and Other Top Stories

SEC Chair Endorses Enhanced Disclosure on Advisors

SEC Chair Endorses Enhanced Disclosure on Advisors

6/22/17 | News

New SEC boss Jay Clayton says regulator wants to “simplify and enhance tools…to help investors conduct background searches on their investment professionals.”

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Alternative Investments: Diversifying Your Client's Portfolio

Alternative Investments: Diversifying Your Client’s Portfolio

6/21/17 | Markets

For years, alternative investments like hedge funds, commodities, and private equity were out of reach for individual investors. That’s starting to change.

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What’s In the Drinking Water at Morgan Stanley’s Jersey Offices?

What’s In the Drinking Water at Morgan Stanley’s Jersey Offices?

6/21/17 | News

Complex manager William Shinners to retire at age 60, following a rash of other metropolitan New York middle-management exits.

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Enforcement Wire
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Former LPL Broker Suspended for Taking Loan from Client

Finra said that the broker borrowed $52,000 from a client in violation of LPL’s policies.

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Ex-Morgan Stanley Associate Suspended for Hiding Drug Arrest

Former client associate willfully failed to disclose two felony and two misdemeanor drug violations from September, Finra said.

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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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