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A new series of initiatives has been announced by the Financial Industry Regulatory Authority to improve its effectiveness in pursuing its mission of protecting investors, maintaining market integrity, and facilitating vibrant capital markets. The initiatives, known...
Three executives with a prominent New York law firm provided some insights recently on the high punitive damages that are being awarded in arbitration cases and the challenges firms face in fighting these awards. An article on the topic was written for AdvisorHub by...
The Financial Industry Regulatory Authority has barred a former UBS Financial Services broker who was found to be secretly borrowing from clients and misusing the funds, InvestmentNews reports. Manuel F. Melendez, a general securities representative who spent 16 years...
The Financial Industry Regulatory Authority announced penalties against a former Raymond James & Associates broker in San Francisco after a review uncovered rules violations, reports AdvisorHub. William J. Conn was fined $15,000 and suspended for three months,...
Merrill Lynch will be able to claw back money from one of its former brokers following an award involving an outstanding promissory note balance, reports AdvisorHub. The broker, John Lahoud, started with Merrill in 2000 and rejoined the firm in 2013 before moving his...
An appeal is expected to be the next step in an ongoing legal battle involving Merrill Lynch and the issue of deferred compensation, according to AdvisorHub. Last month a federal judge granted Merrill Lynch's motion for summary judgment to dismiss a class action...
An American Arbitration Association panel has ruled against Chicago-based Hightower Holdings in its efforts to enforce a non-compete agreement, according to WealthManagement.com. The matter involves one of the firm's former advisors, Lars Knudsen from Washington...
A new initiative to boost the number of women in the financial planning profession has been launched by the Certified Financial Planner Board of Standards. In a news release, the CFP Board announced it has begun a comprehensive program known as Accelerate &...
Three men are accused of fraud in what authorities said was a scheme to use false documents in municipal bond offerings to finance a sports complex in Arizona. The Securities and Exchange Commission announced the charges against Randall “Randy” Miller, his son Chad...
A federal appeals court sided with Commonwealth Financial Network in its appeal of sanctions imposed by the Securities and Exchange Commission, reports AdvisorHub. The case dates back to 2019, when the SEC alleged that Massachusetts-based Commonwealth had breached its...
