Former Princeton, NJ, branch manager who left in May is now helping to run a complex for Merrill Lynch.
Stephen Brown and James Goetz, now with Stifel near Rochester, NY, are hit with suspensions and combined fines of $150,000 for investments in brewery and other products without their firm’s authorization.
Patrick Dwyer’s expungement coup follows a years-long battle in which he sued Finra in an unsuccessful attempt to quietly clear his name.
Brokers at different levels of experience will get reward trips for hitting new household/new asset bogeys over next eight months.
Patrick J. Dwyer, who says he runs one of Merrill’s “top four advisory teams” and is a Forbes and Barron’s star, wins expungement of seven of eight customer complaints on his regulatory reports.
Firm is likely to allow payout on accounts of under $100,000 in the small markets it is targeting.
Many firms drop practice of pursuing trainees for “training costs” if they drop out.