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13 Dec 2019, 11:58 am
Schwartz wound up being “permitted to resign voluntarily” from Advisor Group’s Royal Alliance wealth management firm, according to a Uniform Termination Notice for Securities Industry Registration (Form U5) filed Feb. 22, 2019.FINRA however sanctioned him a $5,000 and suspended him for 15 days. [read post]
12 Feb 2024, 10:28 am
SEC Fines Firms $81 Million to Settle Charges of Mishandling Electronic Communications According to Investment News last week, several wealth management firms, including Cambridge Investment Research Inc., Northwestern Mutual Investment Services, and Lincoln Financial Advisors Corp., are among 16 companies paying an $81 million fine to settle charges related to mishandling electronic communications, as per the Securities and Exchange Commission (SEC). [read post]
21 Jul 2009, 10:49 am
Sharon Nelson founded a computer forensic and information technology company, Sensei Enterprises, Inc., and brings a wealth of technology knowledge to the podcast. [read post]
7 Aug 2013, 10:16 am
Inc., a unit of Oppenheimer Holdings (OPY), today announced that Jason "Hutch" Hutchinson has joined the firm as Managing Director to lead the firm’s Technology Mergers & Acquisitions Group. [read post]
14 Sep 2016, 10:09 am
UBS Group AG’s wealth management business must pay a combined $750,000 to three investors who claimed damages tied to their investments in Puerto Rico’s debt, according to the Financial Industry Regulatory Authority Inc. [read post]
18 May 2017, 7:41 am
The Order alleges that Barclays Capital, in its capacity as a dually-registered investment adviser and broker-dealer, overcharged advisory clients in the course of its wealth and investment management business. [read post]
20 Mar 2014, 10:52 am
In spite of all of its falsehoods and misrepresentations, Mutual Wealth had managed to bilk about 150 U.S. investors out of at least $300,000. [read post]
16 Jun 2018, 1:49 pm
Current Arete Wealth Management, LLC (Arete Wealth) broker Alvery Bartlett (Bartlett) has been subject to three customer complaints. [read post]
22 Apr 2007, 11:16 pm
What do WorldCom, Enron, and Just for Feet Inc. have in common? [read post]
19 Apr 2024, 1:23 pm
Riley Wealth Management Raymond James & Associates, Inc. [read post]
14 Jun 2024, 10:25 am
The nation’s fourth-largest lender has sought to grow in wealth management under Chief Executive Officer Charlie Scharf and his deputy, Barry Sommers, who joined the firm in 2020. [read post]
27 Jul 2010, 4:07 pm
See, e.g., Revlon, Inc. v. [read post]
25 Jan 2012, 7:10 am
Brokers may also be growing frustrated with increasing compliance demands, as well as with the bureaucracy and managements of their firms. [read post]
14 Mar 2013, 2:12 pm
The scenario of a group departure to a competitor is one that arises time and again in the financial services industry, from trading desks to private wealth management teams. [read post]
25 Jan 2017, 12:21 pm
The three brokers were members of the PC Wealth Management Group. [read post]
25 Jan 2017, 12:21 pm
The three brokers were members of the PC Wealth Management Group. [read post]
17 Oct 2014, 10:12 am
The Commission of Financial Institutions for the Commonwealth of Puerto Rico (“OCFI”) ordered UBS Financial Services Inc. of Puerto Rico (“UBS”), a division of UBS Wealth Management Americas, to pay $5,200,000 in fines and restitution in an October 9, 2014 enforcement action. [read post]
25 Mar 2019, 9:15 am
Broker William Matthew Crafa and wealth management firm Royal Alliance Associates, Inc are the subject of a FINRA claim on behalf of investors regarding the solicitation and recommendation to purchase GPB Capital Holdings private placement securities. [read post]
11 Oct 2011, 9:27 am
Oct. 6 (Bloomberg) -- A Citigroup Inc. unit sued two Saudi investors seeking to block Financial Industry Regulatory Authority arbitration of their $383 million claim that the bank “wiped out” their family’s wealth. [read post]
17 Feb 2020, 12:33 pm
The latest charge comes against Criterion Wealth Management. [read post]
