UBS ordered to pay investor $532,846 for overly risky portfolio
Finra arbitrators ordered UBS to pay a senior investor more than $500,000 for weighting her portfolio too heavily in unsuitable securities.
Source: investmentnews.com
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SEC pursues former Morgan Stanley vice president for fraud
The former advisor faces as many as 10 years in prison for stealing roughly $1.7 million from relatives' brokerage accounts to pay for trips, cruises and other personal expenses.
Source: financial-planning.com
Ex-J.P. Morgan Advisors broker Edward Turley barred by FINRA
The megabank's traditional brokerage unit has already paid a FINRA arbitration award and five settlements totaling $47.4 million.
Source: financial-planning.com