FINRA fines four brokerages $9.1 million over ETF sales
NEW YORK (Reuters) - Citigroup Inc Morgan Stanley, UBS AG and Wells Fargo & Co agreed to pay more than $9.1 million in fines and restitution for selling leveraged and...
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FINRA fines four brokerages $9.1 million over ETF sales
NEW YORK (Reuters) - Citigroup Inc Morgan Stanley, UBS AG and Wells Fargo & Co agreed to pay more than $9.1 million in fines and restitution for selling leveraged and...
Straight talk with regulators can ease pain of exams
(Reuters) - Playing host to regulatory examiners while they sift through documents for weeks is not a role that brokerages typically relish. One U.S. regulator says she has a solution...
Straight talk with regulators can ease pain of exams
(Reuters) - Playing host to regulatory examiners while they sift through documents for weeks is not a role that brokerages typically relish. One U.S. regulator says she has a solution...
Exclusive: Citi can promote executive tied to Grubman scandal
(Reuters) - Citigroup Inc can appoint as chief of equity sales an executive disciplined by regulators for failure to properly oversee Jack Grubman, a research analyst who wrote fraudulent reports...
Exclusive: Citi can promote executive tied to Grubman scandal
(Reuters) - Citigroup Inc can appoint as chief of equity sales an executive disciplined by regulators for failure to properly oversee Jack Grubman, a research analyst who wrote fraudulent reports...
Making a buck on brokers’ disclosures
(Reuters) - Nervous brokers are worried that Wall Street's top regulator could let companies use details about their professional backgrounds for commercial ventures. What many do not realize is that...
Making a buck on brokers’ disclosures
(Reuters) - Nervous brokers are worried that Wall Street's top regulator could let companies use details about their professional backgrounds for commercial ventures. What many do not realize is that...
Lincoln Financial must pay $2 million to defamed broker
(Reuters) - Lincoln Financial Advisors Corp must pay $2 million to a broker who alleged the company fired and then defamed him, a securities arbitration panel ruled. Jeffrey Concepcion, a...
Lincoln Financial must pay $2 million to defamed broker
(Reuters) - Lincoln Financial Advisors Corp must pay $2 million to a broker who alleged the company fired and then defamed him, a securities arbitration panel ruled. Jeffrey Concepcion, a...