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FINRA Bars Former Pruco Broker for Forging VA Applications to Meet...

The Financial Industry Regulatory Authority has barred Karen Paek, a former Pruco Securities broker, for creating and submitting multiple fictitious variable annuity applications to...

Emerson Equity Expands Team with Two Executive Hires

Emerson Equity LLC, a full-service brokerage firm, has hired two new executives in its latest expansion; Carolyn Jenkins as chief process officer and Marlene...

SEC Charges Former Next Financial Adviser with $3.9 Million Fraud

The Securities and Exchange Commission has charged a former Next Financial registered representative and investment adviser in Altoona, Pennsylvania, with operating a long-running offering...

Massachusetts Orders NPH Broker-Dealer to Refund Investors for Non-Traded REIT Sales

The Massachusetts Securities Division has ordered SII Investments Inc., an independent broker-dealer within the National Planning Holdings network, to pay restitution to certain Massachusetts...