Features

Topic

Finra panel rules against $900M team terminated by Merrill

In what looks like the end of a long-simmering dispute, Finra orders two members of a team terminated by Merrill Lynch to pay the brokerage $3.5 million

Topic

Sorry, Charlie; the game is over

If only you had read my column a year ago and resigned, as I suggested, you could have been enjoying yourself this summer rather than be dealing with an ever-widening mess.

Topic

The cost of kidnapping an adviser: Six years in prison

The 'Geritol Gang' tried to recoup investment losses by making off with their financial adviser. Now, they're looking at serious prison time.

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