Broker Dealers
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Ex-Edward Jones Rep Fined, Suspended for Texting Client Docs
By Jeff BermanThe former advisor was suspended for 15 months and fined $15,000 by the regulator.
June 02, 2023
Pretrial Hearing Set for Ex-Broker Charged With Murder of BofA-Merrill ExecAnthony Duwayne Turner's next hearing is scheduled for July 10, the L.A. district attorney's office says.
June 01, 2023
Wells Fargo Advisors Picks Up New Head of National Sales From JPMorganBarry Simmons was most recently a managing director and head of J.P. Morgan Wealth Management's East Division.
May 31, 2023
Atria BD Adds Former Signature Bank Advisors With $1BThe three-person team joins a branch of Cadaret Grant in New York.
May 31, 2023
Here's How FINRA Spent $48M of Fine MoneyThe regulator spent an additional $63.3 million on "fines-eligible expenditures," it said.
May 30, 2023
JPMorgan Builds Unit for the Super RichThe unit, called 23 Wall, doesn't have a minimum wealth threshold, but it clearly caters to the richest 0.01%.
May 25, 2023
JPMorgan Jettisons 1,000 First Republic EmployeesThe biggest U.S. bank on Thursday offered full-time or transitional roles to almost 85% of the nearly 7,000 employees
May 25, 2023
Ex-Edward Jones Rep Sentenced to 2 Years in Prison for Scamming ClientsThe former broker took nearly $800,000 from clients, prosecutors said.