An Oppenheimer broker accused of assigning his client service associate to take his continuing education courses gets three-month suspension and fine.
Virginia’s Eric Bartok, a Forbes best-in-stater said to have been producing more than $3 million, was dismissed for expense-account violations, Merrill said.
Former Oppenheimer compliance head, now with David Lerner Associates, loses his second appeal of a Finra suspension and fine for failing to disclose tax liens.
Biggest independent broker-dealer says recruiting remains vibrant after breakaway of Independent Financial while Opco force edges toward 1,000.
After an 18-year career with Oppenheimer, Larry Goldstein affiliates with Cetera’s Summit Brokerage in search of a bigger payout.
Donald Dwyer left statehouse politics for retirement in Clearwater, Florida, at the Grand Venezia, a 336-unit condominium complex with a pool, tennis courts and ill-fated ambitions to bring a touch of Italian luxury to the Gulf Coast.
New Jersey-based Gladstone Wealth Group, which has been recruiting wirehouse managers in an effort to quickly expand its franchise, signs up 21-year industry veteran.
Pasadena advisor Michael Wu was discharged in March for not cooperating with an internal investigation
Rick Singer’s admissions coaching website says Morgan Stanley, UBS, Opco and Pimco offered his services to clients and executives.
New York firm seeks to pay $3.5 million to clients who bought share classes that paid 12b-1 fees when less expensive classes were available.