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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...

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...

FINRA Bars Longtime Broker for Failing to Cooperate with Investigation

The Financial Industry Regulatory Authority has barred Nathan Gersteen Katz, a longtime broker who entered the industry in 1977, for failing to cooperate with...

Former LPL Broker Arrested and Charged with Defrauding Elderly Clients

A veteran financial advisor was arrested and charged with defrauding elderly clients and stealing retirement assets, according to a joint statement released by Nathaniel...

Former Cetera Broker Sentenced to Federal Prison for Fraud

A former Cetera Advisor Networks broker who defrauded clients out of more than $1 million has been sentenced to five years in federal prison...

Former Lincoln/LPL Rep Admits to Stealing More Than $600,000 from Elderly...

Mathew Clason, a former investment advisor and registered representative previously affiliated with Lincoln Financial and LPL Financial during his career, pled guilty earlier this...

FINRA Bars Former LPL Broker

The Financial Industry Regulatory Authority has barred former LPL Financial broker, John E. Simmons Jr., for failing to provide information and documents to the...

FINRA Fines and Suspends Former LPL Broker for Borrowing Money from...

The Financial Industry Regulatory Authority has suspended former LPL Financial broker, Elias Moses Hakimian, for three months for reportedly borrowing $120,000 from a firm...

FINRA Fines Securities America for Violating Customer Privacy

The Financial Industry Regulatory Authority has fined Securities America $125,000 for purportedly helping 12 recruited brokers take nonpublic personal customer information from their former...

Kestra Financial Names Former eMoney Exec as President

Kestra Financial Inc., a wealth management platform for independent financial professionals, has hired Stephen Langlois as president to oversee the Kestra-branded broker-dealer and registered...