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Search Results: unauthorized trading
Results 60-70 of about 95
Date: June 14, 2015
He also purportedly had unauthorized access to their credit card accounts. Ourand provided investment advice and had discretionary authority to trade in client brokerage accounts.
Date: June 10, 2015
Buck, the money manager who was let go from Merrill Lynch (MER) earlier this year, is the subject of several investor complaints alleging misrepresentation, unauthorized trading, and other wrongdoing. ... One investor is claiming losses caused by allegedly excessive trading ...
Date: April 26, 2015
Speer contends that the firm and adviser Ami Forte took part in excessive trading, abused their fiduciary duty, and were involved in unauthorized use of discretion.
Date: November 11, 2014
According to authorities, the dealers exchange confidential data regarding client orders and worked it out so their trades would enhance profits. ... The probe has also widened to look into whether traders used confidential information to take bets on unauthorized ...
Date: November 10, 2014
There also have reportedly been other customer complaints accusing Fairbanks of excessive trading and unsuitable trading. Also sanctioned by FINRA for allegations of unauthorized trading is George Zaki, another ex-Merrill Lynch broker. The self-regulatory organization contends that Zaki implemented or ...
Date: September 19, 2014
Plate, who previously worked with Wells Fargo Advisors Financial Network in Florida, allegedly made fifteen unauthorized trades in a joint brokerage account of two customers between October 2013 and April 2014.
Date: August 4, 2014
According to the SEC, Tucker took part in unauthorized trading, made misrepresentations to customers about the status of their funds, and forged documents and checks.
Date: June 29, 2014
The probe revolved around its commodity-trade finance enterprises in Geneva, Switzerland and Paris, France. Unauthorized dollar payments were made for oil companies to entities in Iran and Sudan.
Date: May 27, 2013
Landow filed her arbitration claim against the unit and her broker a couple of years ago, claiming that unauthorized trades were made.
Date: October 17, 2012
Merrill Lynch ordered to pay couple $1.34 million over Fannie Mae Preferred Shares, Reuters/Chicago Tribune, October 16, 2012 Bank of America Merrill Lynch hit with $1.3 million arbitration order , Investment News, October 17, 2012 More Blog Posts: Ex-Fannie Mae ...
