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Morgan Stanley ordered to pay $2.4M arbitration award over former broker's trades
Broker Steven Mark Wyatt was accused of unauthorized and excessive stock-market trading during and after the 2008 financial crisis.
Royal Alliance to pay $1.4 million over nontraded REIT, VA sales
Award is tied to string of cases brought by retirees who said a broker placed them in unsuitable investments.
Plucky candidates seek Finra board seats
Three contenders had to work way onto ballot, want reform in exams and arbitration
Three reform initiatives that Finra should embrace
Accountability, exams and disclosures on the agenda of candidate for SRO's midsize-firm board seat.
Finra board candidate wants to keep organization from 'antagonizing' members
A candidate for Finra's board of governors has launched what he calls a “dissident campaign,” asserting he will try to prevent the regulator from “antagonizing” members, especially independent broker-dealers.
Finra arbitration panel hits Robert W. Baird & Co. with $17.8 million penalty
The asset and wealth management firm was accused of unfair competition and solicitation.
Finra files complaint against broker for trying to inherit $1.8M from client with Alzheimer's
John Waszolek allegedly took advantage of the client's lack of capacity to be named beneficiary of her estate, Finra said.
SEC's Daniel Gallagher resigning as commissioner
His and fellow commissioner Luis Aguilar's departures could herald a transformation of the agency.
Finra arbitration panel awards $500,000 to former Morgan Stanley rep
Broker and wirehouse embroiled in a three-year dispute over a promissory note.
How partisan politics have poisoned the SEC
Washington's political atmosphere makes the panel too adversarial to get anything done.
Finra bars Wells Fargo broker who ran Miami nightclub
Aaron Parthemer, left, a Wells Fargo adviser for a number of NFL and NBA players, allegedly ran a hip hop dance club in South Beach without telling his employer.
How advisers can avoid Finra scrutiny over personal liens, judgments, or bankruptcies
While disclosures of negative personal financial events are not pleasant, the consequences of not making them can be severe.
Boston RIA hit with $48 million arbitration award
Clients accused Lee Weiss of recommending an unsuitable investment in a Polish tobacco company.
Finra arbitration panel awards investor $1.3 million from ex-Stifel broker
A Finra arbitration panel has awarded $1.3 million in damages to a Mississippi investor over the handling of her finances by a former broker for Stifel Nicolaus & Co. Inc.In a case filed in August 2012, Tracy Noble Gilbert accused broker Lanis Dale Noble, then with Stifel, of churning and breach of
Consumer groups accuse SEC of ignoring investors
Consumer groups say the agency has been preoccupied with market issues to the detriment of the public and needs to tighten adviser oversight.