Regulator to seek comment on publishing more data in BrokerCheck and selectively easing inspection burdens for some branches and examiners.
H. Beck’s James Dresselaers agrees to pay $29,000 in fines and commission disgorgement for sales to a pro athlete customer who appears to have previously received a $1.5 million settlement.
Los Angeles appeal panel says ex-JPMorgan broker can’t discharge $750,000 signing bonus owed to the bank.
A rising stock market stimulates fewer customer complaints while Finra penalties in first half of year fall 70%.
Stephen Brown and James Goetz, now with Stifel near Rochester, NY, are hit with suspensions and combined fines of $150,000 for investments in brewery and other products without their firm’s authorization.
Boston-area broker who paid $1.9 million in fines and disgorgement in April to Massachusetts accepts bar from working in U.S. securities industry.
Arbitration panel said New York broker now with Merrill Lynch liable also has to cover his former firm’s legal fees in case.
Jeffrey Evanello claims the independent broker-dealer retaliated after he raised concerns about self-dealing involving a senior executive.
Regulator bars 30-year veteran in Washington State barred for failing to disclose that a client paid for her Egyptian vacation and named her daughter and grandson beneficiaries of his trust.