Thomas James readily admits that his impending departure from Raymond James Financial Inc., whose roots go back to a firm founded by his father in 1962, is bittersweet.
Investors claim Curtis Lyman sold them promissory notes in a feeder fund for $1.4B scam
In a security snafu, an unencrypted storage device was apparently stolen from a rep's car.
Firm sued by four reps for ethnic slurs allegedly made by a sales manager
Kevin Houser played with the New Orleans Saints from 2000 to 2008. Now, his former teammate Jeremy Shockey — and others — claim the Securities America-affiliated rep ripped them off in an alleged tax scam.
The former Paine Webber chairman, who went all-out in failed bid for AIG's B-Ds, is said to have considerable interest in three of the ING Advisors Network broker-dealers
A broker at HighTower Advisors LLC, the startup with the sterling pedigree, has been sued over the sale of private notes into a feeder fund for what turned out to be a massive Ponzi scheme.
Renee Brown is president of the Real Estate Securities Investment Association. She also co-founded a due diligence firm.This week, the SEC charged her with bilking investors
Merrill Lynch Wealth Management confirmed today that Jimmy Tighe, who left Morgan Stanley Smith Barney this week, has joined the firm.
Citi Smith Barney and Raymond James Financial Services Inc. have won major arbitration claims involving institutional and individual clients seeking tens of millions of dollars in restitution for the purchase of auction rate securities.
