FINRA Enforcement: Oppenheimer to Pay $3.75M for Failure to Rein In Broker
Meanwhile, FINRA fined Ameriprise Financial over a rep who hid a customer complaint.
New Hire Roundup: McCarthy Elected IPA Board Chairman
This week in new hires, Frank McCarthy was elected chairman and five new members were added to the board of directors at IPA; the DiCiaccio and LaMothe-Gonzalez Groups joined Snowden Capital Advisors; more.
Ameriprise Hit with SEC Enforcement Action
Ameriprise Financial Services, Inc., has agreed to pay the Securities and Exchange Commission $17.3 million to settle an enforcement action.