Regulatory Red Flags: Finra Bars Former Merrill Lynch Broker Over Refusal to Cooperate
Former Merrill Lynch broker who was under investigation for alleged misconduct faces regulatory bar for refusing to cooperate with Finra’s requests.
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Former Fidelity Advisor Faces Federal Charges After Allegedly Defrauding Client of $2 Million
Wealth advisors should take note of a cautionary tale emerging from Florida that underscores the importance of compliance oversight and ethics.
Trump Says Major US Banks 'Discriminated Against Me' as White House Preps Debanking Executive Order
Debanking is back in spotlight after Trump said that the country's two largest US banks, JPMorgan Chase and BofA denied him as a customer.
Finra Suspends Advisor for Client Impersonation—Counsel Cites Client Advocacy as Motive
An Oklahoma-based financial advisor has been suspended by Finra for impersonating clients during a series of phone calls to his former brokerage firm.
Ex-Schwab Advisor Suspended for Alleged Undisclosed Profit-Sharing, Unauthorized Trading
A former Charles Schwab advisor has been suspended for two years and ordered to pay nearly $96,000 in fines.
Citi Trading Desk Head Forced to Delete Post on Gaza Starvation
Citigroup pushed trading desk head to delete social post critical of Israel’s actions in Gaza drawing attention to widespread starvation in region.
JPMorgan, BofA Leaders Subpoenaed By US Lawmakers Over CATL IPO
JPMorgan and Bank of America Corp. were subpoenaed by US lawmakers over their role in the initial public offering of Chinese battery maker.
