Year in Review: Top Regulatory Stories of 2018
Our most popular regulatory stories of the year ran the gamut, from brokers who suffered the consequences for seemingly minor expense-report violations and lying about their age to those accused of major fraud.
Top 5 regulatory stories, ranked by page views, in 2018:
The Financial Industry Regulatory Authority suspended a former Merrill Lynch broker over a $524 reimbursement claim.
Finra tells Ami Forte to expect charges over excessive trading in accounts of impaired Home Depot co-founder (and made good on its threat at yearend).
The FBI arrests former Ameriprise broker in Los Angeles and Morgan Stanley claims $6 million from Jersey broker.
Pair who Morgan Stanley fired agree to federal fraud plea.
Financial Industry Regulatory Authority suspends and fines South Carolina broker for understating her age to three different firms.