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Borzi, Mother of Fiduciary Rule, Declares Victory

LPL and Mass. Broker Charged with Massive Annuity Sales Fraud

LPL and Mass. Broker Charged with Massive Annuity Sales Fraud

12/1/16 | News

Massachusetts on Thursday charged LPL Financial and a top broker with selling “scores of large, illiquid, unsuitable, high-commission variable annuities”…

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GOP Senator Tells DOL to Stop Administering Fiduciary Rule

GOP Senator Tells DOL to Stop Administering Fiduciary Rule

12/1/16 | Morning Brief

Stories of interest from around the web: GOP solon to Labor Secretary: We’ll probably repeal fiduciary rule | ThinkAdvisor Incoming…

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Wells Advisors Gives Nod to Heads of Independent Channel and Technology

Wells Advisors Gives Nod to Heads of Independent Channel and Technology

11/30/16 | News

Following his appointment as head of Wells Fargo Advisors four months ago, David Kowach has rearranged the broker-dealer’s operating committee…

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Ex-Morgan Stanley Broker Barred Over NFL Ticket Scam

Ex-Morgan Stanley Broker Barred Over NFL Ticket Scam

11/30/16 | Enforcement

A former broker’s more-than 25-year career in the securities industry ended this week when the Financial Industry Regulatory Authority barred…

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Ex-Merrill Broker Ordered to Pay $384,000 in Promissory Note Case

11/28/16 | Enforcement Wire

Claimant/Counter-Respondent:  Merrill Lynch Respondent/Counter-Claimant/Third Party Claimant:  Heather K. Roentz Nature of Dispute:  Member Firm vs. Associated Person Overview of Allegations:…

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Citizens Securities Advisor to Repay $100K Promissory Note

11/28/16 | Enforcement Wire

Claimant: Citizens Securities, Inc. Respondent: Michael David Charest Nature of Dispute:  Member Firm vs. Associated Person Overview of Allegations: Citizens…

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Ameriprise Broker Suspended for Unauthorized Trades

11/28/16 | Enforcement Wire

Parties: Financial Industry Regulatory Authority Department of Enforcement vs. John E. Burns Background:  Burns joined the securities industry in March…

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Transamerica Broker Barred After Allegedly Charging Excessive Commissions

11/23/16 | Enforcement Wire

Parties: Financial Industry Regulatory Authority Department of Enforcement vs. Harry Bennett Background: Bennett entered the industry in August 1993, associating…

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