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May 24, 2018

Bad Broker With 55 Disclosures Skips Out On Paying $4.3M in Damages
Finra says the problem of unpaid awards isn’t because of its arbitration forum but the respondents’ inability or unwillingness to pay.
Ex-Merrill Lynch FA Suspended Over Alleged Kiting Scheme
Broker deposited money from long-closed accounts into personal account.
Merrill Lynch, Wells Fargo Lose Reps to Rivals
Merrill Lynch loses advisors to Janney while Wells Fargo reps head to RBC and Baird.
SCOTUS Decision Likely to Curb Broker Suits Against Firms
B-Ds should be able to bar class action in arbitration clauses, say Supremes.
Ameriprise-Affiliated FA Practice Moves to Commonwealth
Endeavor Wealth Advisory Group oversees more than $282 million.
Appeals Court Again Denies Bid to Save DOL Fiduciary Rule
Fifth Circuit Appeals Court stands by its refusal to let state AGs intervene.