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The Week Finra Warned About “Advisory Centers”

Top Morgan Stanley Broker in Nevada Breaks Away after Almost 30 Years

Top Morgan Stanley Broker in Nevada Breaks Away after Almost 30 Years

2/17/17 | Advisor Moves

After close to three decades with Morgan Stanley Wealth Management in Las Vegas, the firm’s top producer in the Silver…

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DOL Labor Nominee Acosta Is ‘Blank Slate’ on Fiduciary Rule

Labor Nominee Acosta Is ‘Blank Slate’ on Fiduciary Rule

2/17/17 | News

Alexander Acosta, who Donald Trump tapped Thursday as his replacement nominee for Secretary of Labor, has not opined on the…

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Merrill Reversed Pay Limit on Transferred Accounts After Broker Outcry

Exclusive: Merrill Reversed Pay Limit on Transferred Accounts After Broker Outcry

2/16/17 | News

Sometimes big brokerage firms do listen. After a backlash from its financial advisors, Merrill Lynch has rescinded a policy in…

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Regulator revisits trading desk, finds 35 pricing violations, imposes fine and restitution to customers.

Finra Attacks Morgan Stanley Muni Trades After Earlier Violations

2/16/17 | News

In a reminder that regulators follow up on brokerage firms who admit to past violations, the Financial Industry Regulatory Authority…

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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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Finra Suspends ex-Merrill Broker over Mismarked Orders

Parties: Financial Industry Regulatory Authority Department of Enforcement vs. William Bruckner Background: Bruckner first became registered with a Sanford C.…

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