The Financial Industry Regulatory Authority Inc. has barred former Atlanta-based Merrill Lynch broker Tyler Delahunt for failing to cooperate with an investigation into allegations about his sales practices.
Last August, Merrill Lynch discharged Delahunt over allegations that he had improperly solicited clients related to an outside investment.
Delahunt also was alleged to have accepted loans or other funds from clients without informing his firm.
Blue Anchor Capital Management and Pickett also purchased “highly aggressive and volatile” securities, according to the order.
Reshuffle provides strong indication of where the regulator's priorities now lie.
Goldman Sachs Asset Management report reveals sharpened focus on annuities.
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Cerulli research finds nearly two-thirds of active retirement plan participants are unadvised, opening a potential engagement opportunity.
Barely a decade old, registered index-linked annuities have quickly surged in popularity, thanks to their unique blend of protection and growth potential—an appealing option for investors looking to chart a steadier course through today’s choppy market waters, says Myles Lambert, Brighthouse Financial.
How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
