Ex-Raymond James Rep Who Stole From Elderly Clients Gets 5 Years in Prison
By Jeff BermanThe firm's former broker and executive pleaded guilty to defrauding two clients out of nearly $1 million.
May 14, 2021
FINRA Bars Ex-Securities America Broker Who Signed Dead Client's NameThe former rep signed his deceased client's name on annuity surrender forms, according to FINRA.
May 14, 2021
'Wandering' Bad Brokers Pose Risks for Clients, IndustryAdvisors with regulatory infractions often keep causing trouble even if they're barred from the business, a recent study finds.
May 14, 2021
Final Call for Nominations: ThinkAdvisor's LUMINARIES Awards ProgramThere are just few days left to submit your nominations for this pioneering recognition program.
May 14, 2021
Schwab Cuts More TD Ameritrade ExecutivesMore cuts are expected to follow as the firms continue the integration process, a Schwab spokeswoman says.
May 13, 2021
Ex-LPL Rep Pleads Guilty to Stealing More Than $600K From Retired ClientThe broker transferred funds from his 73-year-old client's investment accounts to a joint bank account and withdrew most of it for his own use.
May 13, 2021
Fidelity Adds Capabilities to Integration Xchange: Tech RoundupAlso, LPL's new Meeting Manager tool helps advisors prepare for client meetings.
May 13, 2021
Time to Sell or to Grow?Selling should be based on a timeline that fits your firm's objectives, not on what the rest of the market is doing.