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SEC Obtains Final Judgment Against Longtime Broker Sentenced to 170 Months...

A New York district court has entered a final judgment against Steven Pagartanis, a barred broker who was sentenced to 170 months in prison...

ADISA Names Award Winners at 2021 Annual Conference in Las Vegas

ADISA, a trade association for the alternative and direct investment space, announced the 2020 and 2021 winners of its A Champion of Excellence (ACE),...

FINRA Bars Former Cambridge Broker for Allegedly Stealing Trust Funds

The Financial Industry Regulatory Authority has barred former Cambridge broker, William J. Michero, who was fired by the broker-dealer for allegedly misappropriating trust funds...

FINRA Bars Broker Accused of Stealing from Elderly Client

The Financial Industry Regulatory Authority has barred former NYLife Securities broker, Jeffrey Scott Anderson, who was accused of stealing approximately $26,600 from an elderly...

Securities America Recruits Advisors with $376 Million, Advisor Group Provides AUM...

Securities America, a wealth management firm within the Advisor Group network, has recruited independent financial advisors Robert “Bob” Batick and Norman “Todd” Coates who...

FINRA Suspends Fired Merrill Lynch Broker Accused of “Improperly Applying” for...

The Financial Industry Regulatory Authority has suspended Evelyn Batista, a former Merrill Lynch registered representative who reportedly made “reckless misrepresentations” in a loan application...

Royal Alliance Super-OSJ Acquires $4.5 Billion Firm

GenXFinancial, a wealth management firm affiliated with Advisor Group subsidiary Royal Alliance, has acquired Boston Partners Financial Group, a New England-based financial advisory firm...

SEC Fines Dozens of Financial Firms for Missing Form CRS Filing...

The Securities and Exchange Commission has charged and fined 21 registered investment advisers and six broker-dealers for failing to “timely” file and deliver their...

SEC Bars Former Raymond James Broker Who Pled Guilty to Stealing...

The Securities and Exchange Commission has barred former Raymond James broker Frederick Stow who pled guilty last October to aggravated identity theft, securities fraud,...

FINRA Bars Former Wells Fargo Rep Accused of Transferring Client Funds...

The Financial Industry Regulatory Authority has barred former Well Fargo advisor, Tyler Michael Rigsbee, who was reportedly fired after the firm found that client...