Month: July 2024 Articles

Taking a while to get your U5 expunged? Brokers who worked for this bucket shop who got a ding on their U5 on their way out have been getting their U5s expunged some TWENTY YEARS after Continental was expelled in 2024. Nobody from this crappy firm ever shows up to...

Been caught using a mouse mover? Companies are starting to crack down on brokers' U5s. Just four years ago, Wells Fargo & Company and its subsidiary, Wells Fargo Bank, N.A., agreed to pay $3 billion to resolve their potential criminal and civil liability stemming...