The Week Two Senior Merrill Execs Gave Notice
Riley Etheridge, who ran client sales, product and advisor training areas under former head John Thiel, retires, along with Sieg’s older brother.
Less than a year after being named a top ten branch manager by a national magazine, a Florida broker goes to work for a local RIA and registers as Uber driver.
The discount brokerage giant says Wisconsin man took list of “HNW” clients with him to Fidelity Investments.
Former broker who kited checks and lost battle to keep $900K hiring bonus gets three-month time-out from industry regulator.
Well-known Nevada-based advisory firm says it and founder received Wells notices relating to advertising of ETF performance based on F-Squared strategies.