FINRA’s National Fraud and Financial Crimes Detection Programs has sent 50 cases to the SEC involving potential fraud by public companies related to COVID-19. So reports Think Advisor.
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Since the turmoil that seized the banking sector with the mid-March failure of Silicon Valley Bank, at least 21 advisors have left First Republic Bank, with 13 heading to Morgan Stanley. So reports AdvisorHub.
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A Morgan Stanley broker who left for UBS Wealth Management USA in July has agreed with his former firm to an order against soliciting his former clients, according to court documents. So reports AdvisorHub.
Prior to the stipulated injunction, Morgan Stanley filed a breach of contract sit against James Tuminello in Washington state court and asked for a temporary restraining order.
Tuminello, a 15-year industry veteran, had worked on a Morgan Stanley team producing more than $2.8 million in yearly revenue, according to the complaint.
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