2014

Posts In 2014

To Patch Loophole, FINRA to Provide Insurance Regulators with Monthly Disciplinary Reports Dec 29
A Wall Street Journal review revealed that when FINRA disciplines a broker for misconduct, the ...
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LPL, Commonwealth's Angela Marie Borchardt, and Kenneth William Schulz Barred for Customer Impersonation Scheme Dec 27
FINRA barred former LPL Financial LLC and Commonwealth Financial Network associates Angela Marie ...
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FINRA Charges Wedbush, Peter Julijs Auzers, Shiva Naby, and Samantha Arrieta McAfee in MSRB Supervisory Failure, Untimely Reporting of $13.5 Million-worth of Transactions Dec 24
FINRA's Department of Market Regulation charged Wedbush Securities Inc. and three employees—Peter ...
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Wells Fargo Advisors' former advisor, Jeffrey C. McClure, Barred for Taking $88,850 from Elderly Client Dec 23
FINRA barred former Wells Fargo Advisors, LLC financial adviser Jeffrey C. McClure of Chico, ...
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Wells Fargo Advisors Fined $1.5 Million for Anti-Money Laundering Failures Dec 22
FINRA fined Wells Fargo Advisors and Wells Fargo Advisors Financial Network a total of $1.5 million ...
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Merrill Lynch Fined $1.9 Million, Ordered to Pay $540,000 in Restitution for GM Fair Pricing and Supervisory Violations Dec 19
FINRA fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.9 million and ordered the firm to ...
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