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Massachusetts Fines Seven Broker-Dealers Over Proxy Voting Fraud Involving Realty ...

Date: June 22, 2016

The broker-dealers are: · Voya Financial Advisors Inc. (VOYA) · Invest Financial Corp. · FMN Capital Corp. · Platinum Wealth Partners Inc. · Newbridge Securities Corp. · TKG Financial · Pariter Securities Galvin claims that brokers at the firms worked ...

Guilty Plea for Financial Adviser Who Used UBS Tips in ...

Date: January 28, 2011

Koval, a registered investment adviser, allegedly acted on tips about provided by his friend Igor Poteroba, an ex- UBS Securities LLC investment banker, about the healthcare industry. ... Koval, who used to work for Citigroup Asset Management (C.N), Northern Trust ...

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