Finra slaps Arizona broker with a short suspension and $5,000 fine after his current employer Raymond James collected $15,000 from him for customer privacy violations at his former firm.
As part of broader industry effort to remedy dramatic gender imbalances among their brokerage force, firm creates new measurement tools to motivate training and leadership development for women.
Leaves crowded network of Jones offices in the area to open first RayJay employee-channel outpost in Las Cruces.
Many firms drop practice of pursuing trainees for “training costs” if they drop out.
Regulator bars 30-year veteran in Washington State barred for failing to disclose that a client paid for her Egyptian vacation and named her daughter and grandson beneficiaries of his trust.
Firm defamed advisor who allegedly opened unfunded “new household” accounts to receive a bonus, arbitration panel rules.
Finra also suspends a second broker who failed to notify Jones that he and his wife were beneficiaries of an elderly client’s account and estate.
Merrill focuses on career changers while Edward Jones launches campaign to hire veteran brokers.