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An arbitration ruling calls for a former First Republic broker in Miami to repay nearly $12 million in outstanding recruiting loans he was given as part of a bonus agreement when he was hired by the bank, AdvisorHub reports. A Financial Industry Regulatory Authority...
Federal prosecutors announced that a former Wisconsin financial advisor has been sentenced to prison on wire fraud and tax evasion charges, according to Financial Advisor. 63-year-old Thomas Demergian of Madison, who defrauded clients out of $1.8 million over a 23...
The Financial Industry Regulatory Authority announced a settlement with Raymond James Financial Services, Inc. over violations involving the reporting of customer complaints, WealthManagement reports. In a letter of acceptance, waiver and consent, FINRA said that...
The Securities and Exchange Commission announced that it has charged China-based investment adviser QZ Asset Management Limited a/k/a Qianze Asset Management Limited (QZ Asset), its South Dakota-based holding company QZ Global Limited, and the CEO of both entities,...
Many financial advisors have a fear of retirement and are reluctant to close out their careers, according to a report by ThinkAdvisor. The issue was the topic of an interview with Casey Jorgensen, head of the Dynasty Institute for Adaptive Leadership. Jorgensen helps...
Wells Fargo Advisors is being sued by a client associate who alleges that the firm did not protect her from persistent mistreatment by a male financial advisor, AdvisorHub reports. Dinah Mirson, who worked at a branch office in Palm Beach, Florida, has filed a gender...
A lawsuit has been filed against JPMorgan Chase and its subsidiary J.P. Morgan Securities over allegations the firm is shortchanging investors on interest payments, according to WealthManagement. The proposed class action suit was filed last week in New York's...
A New York City financial advisor has been sanctioned by the Financial Industry Regulatory Authority over exaggerated claims regarding stock performance, AdvisorHub reports. Richard Joseph Jackson was suspended for one month and fined $5,000 for his actions. ...
An Arizona broker-dealer has been penalized in connection with the fraudulent activities of one of its former registered securities salesmen, Investment News reports. The Arizona Corporation Commission (ACC) ordered Scottsdale-based United Planners Financial Services...
The Securities and Exchange Commission will not be moving forward at this time with a proposal involving so-called "swing pricing", according to a report by Financial Advisor and Bloomberg News. Swing pricing is a method in which the costs of redeeming shares in a...
