The way I see it, 18-year-old Penelope Soto wasn't having a great day from the git-go; not with finding herself in an orange jailhouse jumpsuit before Miami-Dade Circuit Judge Jorge Rodriguez-Chomat. Having been arrested for drug possession, Soto was being arraigned with all important considerations like being released on her own recognizance or the amount of bail to be set at the Judge's discretion subject to certain guidelines.
As a marriage dissolves, the wife instructs Wells Fargo to liquidate the joint account and forward 50% of the proceeds to her. Seems fair, no? Pursuan... Read On
A former UBS financial advisor (a top producer) was fired for allegedly violating compliance policies. The advisor tells a markedly different story.... Read On
In a recent FINRA regulatory settlement, a former supervisor was charged with having been aware of red flags of potentially unsuitable sales of liquid... Read On
Recently, the Commodity Futures Trading Commission published both a Staff Advisory and a Press Release that articulated its observations and disclos... Read On
FINRA Took Wells Fargo Stockbroker Outback to a Bar and SEC Says It's The Last Round (BrokeAndBroker.com Blog) https://www.brokeandbroker.com... Read On