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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. ....

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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. ....

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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. ....

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Merrill Lynch loses FINRA arbitration defamation case

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

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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. ....

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