Susan L. Merrill

FINRA Expels Broker/Dealer Charged With Ponzi Scheme

By Janet Levaux, AdvisorOne | March 24, 2010

Enforcement chief announces plans to leave SRO as well in unrelated development
FINRA Expels B/D in Dallas; Case of $480-Mn Ponzi Scheme

By Janet Levaux, AdvisorOne | March 18, 2010

Provident Asset Management made 23 private placements, which were sold to customers through more than 50 retail broker-dealers nationwide, raising over $480 million through about 7,700 individual investments made by thousands of investors.

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The Business Evaluator tool is designed to educate advisors on career options. Get recommendations unique to your situation as the Business Evaluator intuitively guides you through exploring a change.