The Financial Industry Regulatory Authority (FINRA) has suspended and fined a former LPL advisor who allegedly completed 22 trades on behalf of a client without obtaining written consent. FINRA has issued a $5,000 fine and has suspended Michael Hartlett for 10 days.
A former RBC Wealth Management advisor lost his bid to reverse an industry bar, according to an appellate decision issued by the Financial Industry Regulatory Authority (FINRA).
The Financial Industry Regulatory Authority (FINRA) has begun an examination sweep of advisors’ involvement with special purpose acquisition companies (SPACs).
The Financial Industry Regulatory Authority (FINRA) has barred a former LPL advisor who allegedly misappropriated a senior client’s funds and subsequently failed to cooperate in FINRA’s investigation.
The Financial Industry Regulatory Authority (FINRA) barred a New Jersey financial advisor from the industry after the advisor was charged with attempted theft of the elderly in 2020. Jeffrey Dampf received a bar as part of a settlement after Dampf failed to cooperate in FINRA’s investigation into the matter.
The Financial Industry Regulatory Authority (FINRA) has announced the adoption of new rules aimed at cracking down on advisory firms with a substantial history of misconduct.
UBS Wealth Management has been involved in several arbitration proceedings over its proprietary options-spread strategy, YES (Yield Enhancement Strategy), which prompted numerous client complaints after a period of market volatility.
A former St. Louis-based Wells Fargo advisor has been suspended for three months and fined $2,500 by the Financial Industry Regulatory Authority (FINRA) for holding personal outside brokerage accounts absent the firm’s approval.
The Financial Industry Regulatory Authority (FINRA) has suspended and imposed a $10,000 fine on a 51-year industry veteran who accepted unapproved cash gifts from an elderly client.
The Financial Industry Regulatory Authority (FINRA) suspended a former Merrill Lynch advisor and fined him $5,000 for failing to disclose two felony drug charges on U4 forms.
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The Financial Industry Regulatory Authority (FINRA) has suspended and fined a former LPL advisor who allegedly completed 22 trades on behalf of a client without obtaining written consent. FINRA has issued a $5,000 fine and has suspended Michael Hartlett for 10 days.
A former RBC Wealth Management advisor lost his bid to reverse an industry bar, according to an appellate decision issued by the Financial Industry Regulatory Authority (FINRA).
While online trading platforms have surged in popularity during the pandemic, brokerage firms view self-directed investors as a source of new clients.
