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FINRA Fines Woodbury $225,000 Over Variable Annuity Supervision Issues

The Financial Industry Regulatory Authority has fined Woodbury Financial Services, an independent broker-dealer in the Advisor Group network, for not having a system in...

Four Former UBS Advisors with $530 Million Go Indie with Backing...

Former UBS wealth advisors Steven Tenney, Joseph Powers, Helen Andreoli, and Jack Piper have partnered with Dynasty Financial Partners to launch an independent wealth...

FINRA Bars Former Cambridge Broker for Misusing Client Funds

The Financial Industry Regulatory Authority has barred Anselmo Contreras Jr, a former Cambridge Investment Research broker accused of converting client funds that were intended...

FINRA Seeks Comment on New Broker Misconduct Rule

The Financial Industry Regulatory Authority is requesting comment on a new proposed rule that would target and impose financial obligations on brokerage firms with...

Centaurus Financial Names New Corporate Counsel

Centaurus Financial Inc., an independent broker-dealer, has hired Michael West to serve as corporate counsel to the firm. Prior to joining Centaurus, West spent nine...

Former Broker Pleads Guilty to Fraud and Lying to the SEC

Richard Cody, a former investment adviser and broker who was previously charged by the Securities and Exchange Commission with defrauding Massachusetts retirees, pled guilty...

SEC Charges Michigan Rep for Alleged $2.7 Million Investment Scam

The Securities and Exchange Commission has charged a former registered representative with defrauding his brokerage customers, including many elderly retirees and unsophisticated investors, in...

SEC Charges Former Raymond James Branch Manager for Facilitating $21 Million...

The Securities and Exchange Commission filed charges against Joel N. Burstein, a former registered representative and branch manager with Raymond James & Associates Inc.,...

FSI Partners with Bill Bachrach on Client Acquisition Training Platform

The Financial Services Institute, an organization representing independent financial advisors and independent financial services firms, has partnered with Bachrach & Associates Inc. to offer...

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...