A former Smith Barney financial adviser in New York has plead guilty to attempting to defraud a client of more than $3 million. According to Reuters, Federal prosecutors have said that Sanjeev Jayant Kumar Shah admitted to sending false documents in March 2009 that authorized Smith Barney to transfer $3.25 million from a client’s account [...]
Maria Anne Harding, registered as a financial advisor with Wachovia Securities LLC from May 2007 through July 2009, has been suspended from FINRA for a period of three months. Without admitting or denying, Harding consented to the findings that while he was registered with Wachovia she falsified a customer’s Individual Retirement Account opening documents by [...]