comparemela.com

Latest Breaking News On - Steven gomberg - Page 1 : comparemela.com

Delray-area man arrested after fatal Florida s Turnpike crash near Boca

Cristian Danillo Portillo stood along Florida s Turnpike after his truck broke down on March 30, 2021. Then an SUV hit and killed him, FHP says.

Palm beachUnited statesRoyal palm beachDelray medical centerBoca ratonDelray beachPalm beach gardensRoyal palm beach high schoolRob landersSteven gombergNikolas cruzMichael scott paulCristian danillo portilloDelray beach areaDanillo portilloWest palm

Cetera ordered to pay broker $3M in FINRA arbitration case

A 38-year veteran financial advisor won a significant award in FINRA arbitration after a brokerage claimed he made unauthorized trades.

United statesSteven gombergFasanella brokercheckRobert herskovitsLynch thompsonGerald fasanellaJenice maleckiDisclosure departmentCetera financial groupCetera advisorsFargo advisorsHeron financial partnersHerskovits attorneysMalecki lawCentral registration depositoryRegulation and compliance

Alabama regulator intervenes in broker expungement case

Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award.

United statesPalm beach countyJoe borgMark munizziHarveyr linderKent kirbyKenneth lehmannSteven gombergDonald hafeleRobert herskovitsLynch thompsonJenice maleckiMerrill lynchFamily office partnersFinancial servicesAlabama securities commission

Merrill Lynch loses FINRA arbitration defamation case

An arbitrator ordered the minuscule payment despite taking the wirehouse to task in the ruling.

New yorkUnited statesLawrence casey ennisMorgan stanleyMerrill lynchRobert cookSteven gombergSteven gary leventhalRobert herskovitsLynch thompsonNew york city based morgan stanleyWells fargo advisorsCentral registration depositoryRegulation and compliance

U5 defamation missing from expungement reforms

Despite standout defamation awards, such as a $13.5 million payout to an ex-UBS rep, advisors and attorneys say firms are abusing their U5 power.

New yorkUnited statesChicago board of tradeSankt peterburgLisa braganShirl penneyMark munizziRobert cookFargo finetAlex davidSteven gombergMatt kilgroeRobert herskovitsLynch thompsonMerrill lynchWells fargo bank

vimarsana © 2020. All Rights Reserved.