The latest regulatory, disciplinary and criminal actions.
NFL star claims that firm was negligent in failing to stop a former broker who allegedly stole $15 million.
Finra also suspends a second broker who failed to notify Jones that he and his wife were beneficiaries of an elderly client’s account and estate.
New Jersey-based broker charged with causing HSBC to violate privacy law by taking profiles of 328 clients with him to new job.
Firm alleges a year after SA left its Toledo, Ohio, office that she is illegally sharing her former colleagues’ customer data with her new associates.
Chicago adviser faces 20 years in prison.
Finra imposes industry bar on Long Island broker who failed to disclose a big judgment against her and then kept quiet about a loan she took from a customer.
Finra suspends one former Merrill FA in Arizona who tried hawking clients’ names to another broker and a former associate in Georgia who took client-signature shortcuts.
Registered investment advisor, formerly known as ING Financial Partners, was paid by clearing firm to promote its no-transaction-fee fund platform.
Faces up to five years in prison for stealing more than $1.5 million from clients through trust raids and management fees well above his promised range of 1-1.5%.
Southlake, Texas, broker misled the firm about his role in facilitating the client’s half-million-dollar investment, Finra said.