Shankar allegedly signed customers names on the annuity applications using electronic signature software. Finra said he engaged in this activity from Nov. 21, 2022, to Jan. 23, 2024. An appendix to ...
FINRA rules for greater scrutiny of brokers with misconduct records may have simply nudged those individuals into insurance registrations with more lax supervision, a new study found. Processing ...
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Finra Suspends Advisor for Impersonating Clients. His Lawyer Says There Was a Good Reason.
Regulators have suspended an Oklahoma financial advisor for impersonating clients in a series of phone calls with his former brokerage firm. His lawyer says he was trying to help the clients access ...
The regulator said long-running lapses in oversight of UTMA and UGMA accounts affected thousands of beneficiaries.
A three-person FINRA arbitration panel awarded $1.1 million, including back pay, to a former J.P. Morgan Securities financial advisor who claimed in the dispute the firm was in breach of contract. The ...
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