This Week’s High 5: Merrill Fires 4 Over Agency Cellphone Use, CA Dealer Jumps Early, And Extra – AdvisorHub
August 14, 2021
- Merrill Fires At Least 4 Brokers Over Misuse of ‘Pink’ Telephones
Compliance specialists say improper private use of firm units has turn into a higher threat as work-and-home traces blurred through the pandemic. - $5.5-Mln Oppenheimer Dealer Jumps Early to LPL After Phrase of Transfer Leaks
Dealer who generated round $5.5 million in annual income ramped up exit plans after Oppenheimer managers caught wind of his impending departure, in line with a supply accustomed to the transfer. - Edward Jones’ Headcount Slide Continues
Because of a hiring freeze through the pandemic and a revamped coaching technique, Jones’ normally fast-growing dealer rely fell 1.6% to 18,855. - Stifel Dealer Who Seeded New Nevada Workplace Pushed Out After Much less Than a Month–Sources
Aaron Delsignore, a 22-year dealer who on July 9 joined Stifel in Henderson, Nevada, departed abruptly on the finish of July over improper office conduct, in line with sources accustomed to the matter. - Ex-Merrill Chicago Dealer Sentenced to three.5 Years over $3-Mln Fraud
Marcus Boggs, a former Merrill Lynch dealer who admitted to stealing greater than $Three million from purchasers for luxurious lodge stays and costly meals, was ordered on Thursday to serve three and a half years in jail and two years of supervised launch.