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Cetera ordered to pay broker $3M in FINRA arbitration case

Published: May 4, 2022

A 38-year veteran financial advisor won a significant award in FINRA arbitration after a brokerage claimed he made unauthorized trades.

Source: financial-planning.com

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United StatesSteven GombergFasanella BrokercheckRobert HerskovitsLynch ThompsonGerald FasanellaJenice MaleckiDisclosure DepartmentCetera Financial GroupCetera AdvisorsFargo AdvisorsHeron Financial PartnersHerskovits AttorneysMalecki LawCentral Registration DepositoryRegulation And Compliance

Alabama regulator intervenes in broker expungement case

Published: May 3, 2022

Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award.

Source: financial-planning.com

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United StatesPalm Beach CountyJoe BorgMark MunizziHarveyr LinderKent KirbyKenneth LehmannSteven GombergDonald HafeleRobert HerskovitsLynch ThompsonJenice MaleckiMerrill LynchFamily Office PartnersFinancial ServicesAlabama Securities CommissionPublic Investors Advocate Bar Association FoundationPalm Beach County CourtAmerican State Securities Administrators AssociationWells FargoPuerto Rico RelatedPublic Investors Advocate Bar AssociationFamily OfficeHerskovits AttorneysCircuit Judge Donald Hafele