Continuing to prosecute sales violations involving short-term rollovers of unit investment trusts, Finra fines and suspends a 28-year broker in New Jersey.
New York “regional” offers hope that second-quarter results will be somewhat leavened by first-quarter asset flows.
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