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Tagged with "brokers"

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Judge Relies on COVID Pandemic to Deny Motion for TRO Filed Against Brokers

Posted on May 20th, 2020 at 3:11 PM
Judge Relies on COVID Pandemic to Deny Motion for TRO Filed Against Brokers

A federal court judge in Florida denied Regions Bank’s motion to reinstate a temporary restraining order (“TRO”) filed against the bank’s former financial advisors, Michael Montalvo and Mauricio R. Cardenas.  Regions Bank sought a TRO in an effort to restrain Montalvo and Cardenas from soliciting former clients serviced at Regions Bank.

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Edward Jones Announces Pay Freeze

Posted on April 16th, 2020 at 3:24 PM
Edward Jones Announces Pay Freeze

Edward Jones announced that it is freezing wages and suspending overtime pay for one year. The decision, which the firm described as a proactive and preventative measure, comes in response to the issues that have arisen as a result of the COVID-19 pandemic.

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Sales in Unregistered Securities Are Soaring but It Comes at a Cost-Part 3

Posted on May 6th, 2019 at 5:11 PM
Sales in Unregistered Securities Are Soaring but It Comes at a Cost-Part 3

This is the third in a series which highlights an InvestmentNews article concerning the recent uptick in the sale of unregistered securities and how those transactions have resulted in the proliferation of fraudulent schemes.

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Regional Broker-Dealers are Making a Comeback

Posted on January 16th, 2019 at 3:19 PM
Regional Broker-Dealers are Making a Comeback

Once overlooked compared to the registered investment adviser and the independent broker-dealer market, regional brokerage firms quietly are making comeback due to recruiting gains at the expense of wirehouses.

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FINRA Orders Merrill Lynch to Pay Brokers $800,000 in Damages After Termination Dispute

Posted on October 24th, 2016 at 9:03 AM
FINRA Orders Merrill Lynch to Pay Brokers $800,000 in Damages After Termination Dispute

FINRA has ordered Bank of America Merrill Lynch to pay $800,000 in compensatory damages to two brokers who were owed compensation by the firm when they were fired without cause.

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UBS Fined for Failing to Educate Brokers on Complex Product Sales

Posted on October 17th, 2016 at 10:57 AM
UBS Fined for Failing to Educate Brokers on Complex Product Sales

The SEC has fined UBS Financial Services over $15 million because of its failure from 2011 to 2014 to educate and train retail brokers on the sale of almost $11 billion of complex structured products. 

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Page 1 of 1
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Some Brokers Sold GPB Private Placements Allegedly with the Worst Wall Street Tactics
February 26th, 2021 at 1:32 PM
Carve-Out Provision Plays A Crucial Role in Morgan Stanley Advisor Transition Battle
February 25th, 2021 at 3:18 PM
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Latest News
CFP Board is the New Sheriff and it Is Not Your Friend
October 24th, 2020 at 10:04 AM
Defending Against a Customer Complaint First Requires Selecting Correct Legal Counsel
October 15th, 2020 at 10:02 AM
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