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Buoyed by $3-Mln Whistleblower Award, Ex-Merrill Duo Clears Their Record

July 23, 2021 by Miriam Rozen | | | Share This Advisorhub/Mason Braswell A Financial Industry Regulatory Authority arbitrator granted this week expungements of 10 customer complaints–five each–for two UBS Wealth Management USA brokers, who in 2019 won a related $3 million whistleblower award from the Securities and Exchange Commission. The Brookfield, Wisconsin brokers Glen […]

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YOLO? Finra Raps Ex-Wells Broker Who Sought Pandemic Loan to Fund His Online Trading Account

July 22, 2021 by Miriam Rozen | | | Share This Andriy Blokhin – stock.adobe.com The Financial Industry Regulatory Authority fined and suspended a former broker with Wells Fargo Advisors who allegedly sought to use a government small business pandemic relief loan to fund his self-directed brokerage account.   Kenric Sexton, who had been a broker […]

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SEC Commissioner Peirce Warns Again Against ESG Disclosure Requirements

July 22, 2021 by Miriam Rozen | | | | Share This The new Chairman at the Securities and Exchange Commission has recently warmed up to environmental, social and governance disclosure requirements for publicly traded companies.  But one SEC commissioner on Tuesday revived her concerns that those would go beyond the agency’s remit, and that […]

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