Delray-area man arrested after fatal Florida's Turnpike crash near Boca
Cristian Danillo Portillo stood along Floridas Turnpike after his truck broke down on March 30, 2021. Then an SUV hit and killed him, FHP says.
Source: palmbeachpost.com
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Cetera ordered to pay broker $3M in FINRA arbitration case
A 38-year veteran financial advisor won a significant award in FINRA arbitration after a brokerage claimed he made unauthorized trades.
United States Steven Gomberg Fasanella Brokercheck Robert Herskovits Lynch Thompson Gerald Fasanella
Source: financial-planning.com
Alabama regulator intervenes in broker expungement case
Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award.
Source: financial-planning.com
Merrill Lynch loses FINRA arbitration defamation case
An arbitrator ordered the minuscule payment despite taking the wirehouse to task in the ruling.
Source: financial-planning.com
U5 defamation missing from expungement reforms
Despite standout defamation awards, such as a $13.5 million payout to an ex-UBS rep, advisors and attorneys say firms are abusing their U5 power.
Source: financial-planning.com