Florida
Get the latest on Florida's financial regulations, enforcement actions and litigation.
Federal Regulation
Ex-Wells Fargo Broker Barred by FINRA Over Ponzi Scheme
By Jeff BermanThe former broker and Wells Fargo were among those named in a complaint last year by disgruntled investor.
January 04, 2021
Ex-Rep Sues Morgan Stanley Over Deferred CompA broker says the firm wrongly withheld more than $500,000 from him when he left.
December 07, 2020
Goldman Plans to Move Asset Managers From New York to This StateThe deliberations at the Wall Street icon, often a trendsetter for the industry, are aimed at cutting costs.
November 20, 2020
Morgan Stanley Fires Brokers Over Legacy Account PaymentsThe firings involve a program allowing departing brokers to split fees and commissions with the reps who inherit their accounts.