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Raymond James Sidelines FL Manager and Other Top Stories of the Week

RayJay Sidelines FL Manager and Other Top Stories of the Week

Dawn Bennett Ordered to Pay Investor $1 Million over Gold Recommendation

Dawn Bennett Ordered to Pay Investor $1 Million over Gold Recommendation

3/23/17 | News

Arbitrators hold the embattled investment advisor and affiliated broker-dealer liable for unsuitable ETF investment and failure to supervise.

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Fired UBS Advisor Claims Retaliation for Whistleblowing

Fired UBS Advisor Claims Retaliation for Whistleblowing

3/22/17 | News

Dismissal over penny-stock complaint was a subterfuge for firm’s anger over his cooperation with authorities in uncovering alleged elder abuse fraud by colleague and former client, broker claims in lawsuit.

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Raymond James Sidelines Florida Manager Tied to Major Fraud Case

3/22/17 | News

Frank Amigo, manager of firm’s South Florida complex, allegedly helped a broker arrange margin loans for client accused of $200 million Ponzi scheme.

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Analysis: Merrill Lynch Brokers Hanging On to More Assets and Loans

Analysis: Merrill Brokers Hanging On to More Assets and Loans

3/21/17 | News

Dollars leaving Merrill advisors for Merrill Edge fell by 22.5% last year while loans jumping to the bank skidded 93%.

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Finra Bans Waddell & Reed Broker

Parties: Financial Industry Regulatory Authority vs. Paul Douglas Stanley Background: Stanley first entered the securities industry registered with Dean Witter…

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SEC Fines Stifel $300K Over Failure To Disclose “Trade Away” Fees

Parties: Securities Exchange Commission vs. Stifel, Nicolaus & Company, Incorporated Background: Stifel is a retail and institutional brokerage and investment…

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Ex-MS Broker Wins $365,000 to Offset Promissory Note Repayment

Claimants: Beverly B. Carroll Respondent: Morgan Stanley Smith Barney LLC, Morgan Stanley Smith Barney FA Notes Holdings LLC Nature of…

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Panel Orders UBS to pay $505,000 over Puerto Rico Bond Fund Losses

Claimants: Elsie Hernandez Ferrari, Herman Hernandez Hernandez and Annette Hernandez Hernandez Respondents: UBS Financial Services Inc. and UBS Financial Services…

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