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An Unusual “Caller ID” Issue Sparks Dismissal and Other Top Stories

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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Morgan Stanley Taps New Boss at New York City Branch

Morgan Stanley Taps New Boss at New York City Branch

4/20/17 | News

Dwayne Barberis takes over a midtown Manhattan office after abrupt departure of his predecessor.

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Expunging Customer Complaints Becomes More Complicated

Expunging Complaints Becomes More of a Crapshoot

4/20/17 | News

Arbitrator allows a UBS broker to clear his name, citing “factually impossible” complaint, but it’s not always so simple.

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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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