AdvisorHub breaking news & industry content.

L.A. Firm Buys Wunderlich to Sell Retail Products

Another Pro Athlete Fraud Suit and Other Top Stories

Another Pro Athlete Fraud Suit and Other Top Stories

5/21/17 | News

Most popular stories and comments from May 15th through 20th.

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U.S. Securities Firms Appear to Have Escaped Global Cyberattack

U.S. Securities Firms Appear to Have Escaped Global Cyberattack

5/19/17 | News

Broker-dealers dodged damage in last week’s ransomware attack but regulators say it should be serious wake-up call.

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Morgan Stanley Sues Connecticut Vets on Heels of Their Jump to Janney

Morgan Stanley Sues Connecticut Vets on Heels of Their Jump to Janney

5/18/17 | Advisor Moves

Wirehouse asks court for restraining order against a producing manager and partner who allegedly contributed 40% of their former branch’s production.

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With Days to Go, DOL Rule Still Confounds Brokers

With Days to Go, DOL Rule Still Confounds Brokers

5/18/17 | News

Industry executives from giant firms to midgets say they and their brokers are struggling with what’s to come two weeks before the fiduciary rule becomes effective.

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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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Finra Charges Indie Broker over $50k Loan from Client

Broker allegedly violated Commonwealth and Cetera’s prohibition against borrowing from clients and gave false information to Finra.

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Ex-Raymond James Broker Barred for Unauthorized Trading

Among the violations, broker made 900 trades in one client’s account without their knowledge or authorization, Finra said.

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