Doug Mirabelli, formerly of the Boston Red Sox, has won more than $1.2 million in damages and fees from Merrill Lynch related to the way the firm handled his account back in 2008.
FINRA is standing firm on its demand that failed broker-dealer CapWest pay $9 million in damages and fees, even though regulators confess that they are "not particularly hopeful."
It's getting more expensive for the biggest brokerage firms to pay for their channel's supervision, but they won't know for months exactly how big their share of the bill will be.
Huge financial incentives for selling variable annuity products -- "suitable "or not -- have cost Raymond James close to $1.8 million, even though the client ended up making money on the advice.
Regulatory compliance and advertising review services.
You'll be emailed a discount coupon for $30 off the CFP® Ethics Class after signing up for A4A's $60 quarterly membership, featuring Fritz Meyer, Bob Keebler, and Craig Israelsen.