On Mar. 19, 2023, Credit Suisse, a global investment bank and financial services firm based in Switzerland, announced its merger with UBS, a global firm providing financial services…
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On Dec. 19, 2022, the Financial Industry Regulatory Authority (FINRA) permanently barred former California-based LPL Financial LLC broker John Nicholas Matson from association with any FINRA member in…
On Dec. 8, 2022, the Financial Industry Regulatory Authority (FINRA) permanently barred former New Jersey-based Monmouth Capital Management, LLC broker Caz Craffy from association with any FINRA member…
On Jan. 27, 2023, the Financial Industry Regulatory Authority (FINRA) announced that former Texas-based Stifel, Nicolaus & Co. broker Robert Earl Turner had been permanently barred from association…
On Aug. 12, 2022, the Financial Industry Regulatory Authority (FINRA) announced that former Baton Rouge-based Park Avenue Securities registered representative Bradley S. Kavanagh had been permanently barred from…
On Nov. 17, 2022, the Financial Industry Regulatory Authority (FINRA) announced that former J.P. Morgan Advisors broker Edward L. Turley had been permanently barred. FINRA’s decision was made…
