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FINRA Suspends and Fines Former Raymond James Broker for Accepting Monetary...

The Financial Industry Regulatory Authority has suspended and fined a Robert Edward White, a former Raymond James broker, for accepting $58,000 in monetary gifts...

FINRA: Number of Broker-Dealers and Registered Reps Decline for Second Year

The Financial Industry Regulatory Authority has published the FINRA Industry Snapshot 2018, its first annual statistical report on the brokerage firms, registered individuals and...

SEC Charges Former UBS Broker in $4 Million Scam Targeting Brokerage...

The Securities and Exchange Commission has charged a former registered representative with allegedly defrauding his brokerage customers out of nearly $4 million in a...

FINRA Suspends Former Baird Broker for Borrowing $70,000 from a Client

The Financial Industry Regulatory Authority issued a five-month suspension and $10,000 fine against broker Patrick Jermaine Phillips for borrowing funds from a client and...

FINRA Suspends Former Morgan Stanley Broker for Forging Client’s Loan Docs

The Financial Industry Regulatory Authority has suspended a former Morgan Stanley broker for allegedly submitting forged and falsified documents to Morgan Stanley Private Bank...

IFP Adds Another Executive Ahead of Broker-Dealer Launch

Independent Financial Partners, a registered investment adviser and office of supervisory jurisdiction for LPL Financial, has hired Bill McCauley as its new chief financial...

NAPA President Named New Head of IFP Plan Advisors

Independent Financial Partners, a registered investment adviser and office of supervisory jurisdiction, has hired Jeff Acheson as divisional president of IFP Plan Advisors, the...

Securities America Adds $222 Million Insurance Group to Its Platform

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF), has added Futurity First Insurance...

FINRA Bars Broker and Expels His Firm for Violating Suspension Terms

The Financial Industry Regulatory Authority hearing panel has permanently barred broker Bruce Martin Zipper of Miami, Florida, for continuing to conduct firm business while...

FINRA Bars Broker for Fraudulent Variable Annuity Exchange, Falsifying Documents

The Financial Industry Regulatory Authority has barred a former Navy Federal Brokerage Services advisor for allegedly engaging in securities fraud, making unsuitable recommendations, and...