Boston-area broker who paid $1.9 million in fines and disgorgement in April to Massachusetts accepts bar from working in U.S. securities industry.
Arbitration panel said New York broker now with Merrill Lynch liable also has to cover his former firm’s legal fees in case.
Jeffrey Evanello claims the independent broker-dealer retaliated after he raised concerns about self-dealing involving a senior executive.
Regulator bars 30-year veteran in Washington State barred for failing to disclose that a client paid for her Egyptian vacation and named her daughter and grandson beneficiaries of his trust.
Replaces Vanguard’s Jack Brennan, who took the oversight reins of the self-regulator as part of a corporate governance revamp last summer.
Finra arbitrators award almost $400,000 to estate of woman who claimed firm shouldn’t have let her write checks from her account and liquidate securities to pay a home-improvement fraudster.
CEO Robert Cook spells out details of self-regulatory group’s plan for patrolling the beat, including doubling exams of suspect firms this year.
Broker who left to care for his children is entitled to his deferred compensation because “arbitration is not only about law, it also about equity and fairness,” Finra arbitrator wrote.
Wirehouse asks court for restraining order against a producing manager and partner who allegedly contributed 40% of their former branch’s production.