FINRA
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UBS Accuses Ex-Advisor of 'Brazen' Attempts to Take Clients
By Dinah Wisenberg BrinDouglas Frew denies allegations he went to one client's home and called another 10 times.
October 02, 2024
TD Securities to Pay $28.5M to Resolve Spoofing AllegationsThe charges concern tens of billions of dollars in fraudulent trades of Treasurys, authorties said.
September 26, 2024
Ex-Advisor Sues LPL, Citizens Bank & Trust Over Botched TransitionNathan Adams was punished for pursuing a job with LPL, which botched a background check, the complaint alleges.
September 24, 2024
Barred Advisor Gets 21 Months in Prison for Cherry-PickingJonathan Glenn's unfair allocations of profitable trades defrauded clients of more than $2.7 million, authorities say.
September 16, 2024
Firm Violated Reg BI With Class A Mutual Fund Switches: FINRASecurities Research Inc. of Florida must pay more than $100,000 for not supervising a rep's short-term switches.
September 13, 2024
Wells Fargo Clearing to Pay $3M Over Reps' Unsuitable TradesThe firm failed to supervise short-term trading of income-generating securities, FINRA says.
September 12, 2024
SEC Charges Pastor-Turned-Advisor With $2.4M FraudThe former advisor sold phony promissory notes to Christian clients, the SEC alleges.
September 12, 2024
Lawsuit: Schwab Let Scammers Drain Life Savings of 91-Year-Old CustomerSchwab ignored red flags and its own elder financial abuse guidance, the federal lawsuit alleges.