head trader

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  SEC, FINRA Enforcement Roundup: Allianz, TheStreet Charged

  By Marlene Y. Satter, AdvisorOne  |  December 20, 2012

  Among recent enforcement actions taken by the SEC were charges against Allianz for violations of the Foreign Corrupt Practices Act that resulted in penalties of more than $12.3 million; against a Connecticut-based advisor for telling clients it was investing in the same collateralized debt obligations it recommended for them; against...

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  FINRA Suspends David Lerner, Forces $12M Payback on Apple REITs

  By Melanie Waddell, AdvisorOne  |  October 22, 2012

  Lerner, the CEO and president, misled customers, calling the Apple REITs a ‘fabulous cash cow’ and a ‘gold mine,’ FINRA says.

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  New Hire Roundup: Casares Joins Genworth; Stratos Adds Three

  By Marlene Y. Satter, AdvisorOne  |  June 13, 2012

  This week in new hires, Rico Casares joined Genworth Wealth Management, and Stratos Wealth Partners welcomed three advisors to two new offices.

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  FINRA Panel: David Lerner Associates Sold Marked-Up Munis, CMOs

  By Melanie Waddell, AdvisorOne  |  April 5, 2012

  A FINRA hearing panel ruled on Wednesday that Long Island-based David Lerner Associates charged excessive markups on municipal bond and CMO transactions over a two-year period.