Insights
October 17, 2016
FINRA barred former Waddell & Reed Inc. broker Gregory Bauer from the securities industry for making over $400,000 in unauthorized withdrawals from his parents’ accounts. [su_spacer size=...
October 11, 2016
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October 5, 2016
With the levying of some very hefty fines, FINRA is set to beat last year’s amount by nearly 70%, according to a recent Investment News article . In the first half of 2016 alone, FINRA assessed ...
September 22, 2016
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September 15, 2016
FINRA announced that it has fined Ameriprise Financial Services $850,000 for failing to detect that a broker was moving customer money to a business account for personal profit. The registered represe...
August 5, 2016
FINRA barred Brian James Egan from the securities industry after allegedly failing to disclose trading accounts he held beyond his employer, Independent Financial Group. According to a settlement noti...
July 20, 2016
FINRA barred broker Bernard McGee and ordered him to pay about $250,000 in penalties for fraudulent annuity recommendations he made to an elderly customer. According to FINRA, he surrendered four vari...
July 18, 2016
The FINRA Board of Governors elected John Brennan as its new chairman last week. Brennan, an ex-chief executive and currently chairman emeritus and senior adviser at Vanguard Group, will start his new...
July 14, 2016
FINRA banned Winston Wade Turner, a former Prudential Financial Inc. and MetLife Inc. broker, from the securities industry for making unsuitable variable annuity recommendations. Turner misled clients...
June 28, 2016
Last week, former Merrill Lynch broker Kenneth Daley submitted a Letter of Acceptance, Waiver and Consent in which he accepted a permanent bar from acting as a broker or otherwise associating with fir...
June 24, 2016
Following on the heels of Merrill Lynch’s agreement yesterday to pay $415 million to settle claims made by the SEC, the commission and FINRA fined the firm an additional $15 million in another a...
June 22, 2016
FINRA has suspended former LPL Financial broker and supervisor Peter Neuberg for six months and has fined him $15,000 after failing to reasonably supervise a registered representative, according to th...
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