According to a lawsuit filed in Ohio federal court, Paul Saba created fictitious email addresses to falsely accuse two Raymond James employees of assault, insider trading and supporting a networking group for neo-Nazis.
The regulator found firm employees were using unapproved texting apps for business and failing to archive the communications. It follows earlier settlements made with large firms like Bank of America, Morgan Stanley, LPL and Raymond James.
RIAs are navigating economic challenges and evolving tech trends—explore how a hybrid approach blends the best of all-in-one simplicity with best-of-breed specialization to drive growth and efficiency.
BofA announced it hired Ed Riley and Jessica Mullin several days after unveiling its new advisory group for ultra-high-net-worth clients based out of its Merrill Wealth division.
Did someone forward you this newsletter? Sign up here to receive it direct.
You are subscribed to this newsletter as newsletter@newslettercollector.com
To ensure uninterrupted delivery of this critical eNewsletter alert be sure to add WealthManagement.com and the reply address to your list of safe sender contacts.
