Broker Dealers
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Ex-Cetera Advisor Charged With Defrauding Older Client Out of $2.4M
By Jeff BermanThe SEC also alleges the advisor liquidated the client's holdings and transferred the proceeds to her own accounts.
July 28, 2023
Judge Throws Out RIA's Poaching Suit Against CambridgeColonial River Wealth Advisors alleged the BD helped an advisor poach back her clients after selling the firm.
July 27, 2023
Twin Advisors Indicted on Fraud ChargesAdam and Daniel Kaplan are accused of bilking at least 60 clients out of at least $5 million.
July 27, 2023
Don't Forget This CE Requirement, FINRA WarnsRegistered representatives need to complete the Regulatory Element course this year or face "CE inactive" status.
July 27, 2023
AdvicePay Names New CEOAlex Sauickie succeeds co-founder Alan Moore; he is a veteran fintech exec and a New Jersey assemblyman.
July 26, 2023
LPL Fined $3M for Failing to Investigate Red Flags, Supervise RepsFINRA alleges that at least 50 LPL Financial registered representatives forged electronic signatures on over 1,000 documents.
July 26, 2023
Elon Musk Wants Twitter to Take On Jamie DimonMusk sees Twitter becoming a financial services hub. But history suggests he faces an uphill battle.
July 25, 2023
Ex-UBS Advisor Says Firm Fired Him Over His DepressionThe wirehouse failed to reasonably accommodate his treatment, according to a lawsuit.