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Finra

The latest headlines in Wealth Management.

Latest Morgan Stanley Broker Gag Effort Moves to Arbitration
4/19/18 | News | Morgan Stanley | 1 Comment

Latest Morgan Stanley Broker Gag Effort Moves to Arbitration

Morgan Stanley Wins $372,000 Stolen by Barred Boston Broker
Morgan Stanley

Morgan Stanley Wins $372,000 Stolen by Barred Boston Broker

4/16/18 | News

Broker is slated to plead guilty later this month to charges he and a junior partner misappropriated around $500,000 from two clients.

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Finra
Former Finra Enforcement Chief to Join Merrill Lynch
Merrill Lynch

Former Finra Regulatory Chief Axelrod to Join Merrill Lynch

3/29/18 | News

Susan Axelrod, who oversaw enforcement and member services operations before stepping down in January, will be chief supervisory officer.

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Finra
Morgan Stanley Wins Back Client Data and $475K from Broker Who Jumped
Morgan Stanley, RBC

Morgan Stanley Wins Back Client Data and $475K from Broker Who Jumped

3/28/18 | News | 2 Comments

Washington State advisor at RBC who beat Morgan Stanley’s restraining order in court loses a battle to keep client data in arbitration.

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Finra, Prexit
Finra Bars Morgan Stanley Broker Who Has Cost Firm $2.5 Million...and Counting
Morgan Stanley

Finra Bars Morgan Stanley Broker Who Has Cost Firm $2.5 Million…and Counting

3/20/18 | Enforcement

Florida advisor made over 1,200 unauthorized trades between 2012 and 2016, regulator says.

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Finra
Finra Shifts Firm Examination Criteria

Finra Shifts Firm Examination Criteria

3/20/18 | News | 3 Comments

Robert Cook sees more “risk-based” exams determined in part by business models instead of traditional “cycle” exams dictated by the calendar.

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Finra, SEC
Finra Suspends Chief Compliance Officer Who Expunged Her Own Record

Finra Suspends Chief Compliance Officer Who Expunged Her Own Record

3/6/18 | News | 1 Comment

CCO took matters into her own hands after a former employer rebuffed her attempts to amend its explanation of why she was terminated.

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Finra
Regulator Tells Ex-Morgan Stanley Star Ami Forte to Expect Churning Charges
Morgan Stanley

Regulator Tells Ex-Morgan Stanley Star Ami Forte to Expect Churning Charges

2/26/18 | Enforcement | 6 Comments

Broker who allegedly defrauded wealthy client and cost her former firm a $34 million arbitration award is told to expect Finra charges involving excessive trading and suitability rules.

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Finra
Million-Dollar Hilliard Broker Told to Return $445K to Elderly Client
Hilliard Lyons

Million-Dollar Hilliard Broker Told to Return $445K to Elderly Client

2/20/18 | News | 1 Comment

Hilliard, Lyons and a Louisville advisor once ranked as one of the top young brokers in the U.S. allegedly made unauthorized, excessive and risky trades in octogenarian’s retirement accounts.

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Finra
“We Wuz Impersonated,” Says Finra CEO Cook

Beware Fraudsters Impersonating Regulators, Finra Warns

2/16/18 | News

Fraudsters used Finra’s name, logo and the name of CEO Robert Cook to try to steal money from investors, self-regulatory agency warns in investor alert.

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Finra
UBS Extracts $4 Million from Breakaway Broker
UBS

UBS Extracts $4 Million from Breakaway Broker

2/14/18 | News | 4 Comments

Large arbitration award for unpaid loan balances gives insight on why big brokerage firms have retrenched from lucrative signing and retention packages.

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Finra
Broker Suing UBS in Whistleblower Case Wins Some Expungements
UBS

Broker Suing UBS in Whistleblower Case Wins Some Expungements

2/13/18 | News | 2 Comments

Craig Price wipes four auction-rate security complaints from his record while his wrongful termination claims against UBS proceeds.

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Finra
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