San Diego Securities Lawyers: FINRA’s Proposed Rule on Outside Business Activities
Registered representatives who operate under FINRA regulation, are aware of [...]
Read MoreMonth: June 2017
California FINRA Lawyers Report: Wells Fargo Loses 225 Reps Due to WF Scandal
Wells Fargo reported a loss of 225 registered representatives in the first quarter of 2017 [...]
Read MoreSan Diego Securities Lawyer Update: Will They Stay Or Will They Go – Merrill Lynch, Morgan Stanley and UBS Scale Back Recruiting Bonuses
In May 2017, Merrill Lynch announced plans to do away with [...]
Read MoreSan Diego Securities Lawyers: SEC Enforcement Action Up 20%
In the past six months, SEC enforcement actions against broker-dealers were up 20% [...]
Read MoreSan Diego Securities Lawyers: Merrill Lynch Veteran Pleads Guilty to $8.7M Bank Fraud
Jeffrey Kluge, a 25 year veteran of Merrill Lynch based in St. Paul, Minneapolis, plead guilty to two counts of…
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