“Presidents Club” broker who joined Morgan Stanley in 1988 left on Friday to start his own firm.
Regulator revisits trading desk, finds 35 pricing violations, imposes fine and restitution to customers.
Federal judge denies firm’s attempt to prevent $700K advisor who jumped to RBC from contacting clients allegedly close to his former senior partner.
Firm failed to properly train brokers on the complex product and to provide disclosure notices to several hundred customers.
Firm files lawsuit to restrain Seattle broker from contacting team clients from his new post at RBC.
Seven-person team with $4.6 million of production make the move in Cincinnati.
Barry Connell, a 16-year veteran of Morgan Stanley and UBS who has been on the lam since last summer, is charged by the U.S. Attorney and SEC with stealing $5 million from clients.
Firm accused Atlanta-based advisor of failing to honor promissory note when she left after two-and-a-half years.
Southeast regional manager Eric Busko steps down after almost a decade.
Firm cites “concerns” about discretionary trading and investment strategy of Michael Paesano and two other members of his five-person team.