Broker is slated to plead guilty later this month to charges he and a junior partner misappropriated around $500,000 from two clients.
Susan Axelrod, who oversaw enforcement and member services operations before stepping down in January, will be chief supervisory officer.
Washington State advisor at RBC who beat Morgan Stanley’s restraining order in court loses a battle to keep client data in arbitration.
Florida advisor made over 1,200 unauthorized trades between 2012 and 2016, regulator says.
CCO took matters into her own hands after a former employer rebuffed her attempts to amend its explanation of why she was terminated.
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.
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.
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.
Craig Price wipes four auction-rate security complaints from his record while his wrongful termination claims against UBS proceeds.