Month: February 2017

REGISTERED INVESTMENT ADVISERS CHARGED WITH STEALING FROM CLIENTS, INCLUDING MIKE TYSON

By Erwin J. Shustak — posted in Investor Claims & Financial Fraud, Regulatory Enforcement & Investigations on Thursday, February 23, 2017.

Disciplinary Actions Financial Advisors Investment Advisers Investment Fraud

Two recent instances of RIA’s stealing from clients [...]

ASH NARAYAN, FORMERLY OF RGT WEALTH ADVISORS, SUSPENDED BY CFP BOARD

By Erwin J. Shustak — posted in Investment Advisers & Private Funds, Regulatory Enforcement & Investigations on Tuesday, February 21, 2017.

Disciplinary Actions

The Certified Financial Planning Board of Standards has temporarily suspended [...]

Merrill Lynch Adviser Resigns Over Expense Account Abuse

By Erwin J. Shustak — posted in Financial Advisor & Broker Disputes on Tuesday, February 14, 2017.

Financial Advisors

A Merrill complex director in Ohio has parted ways with [...]