Month: November 2016
Merrill Lynch Fires Top Broker Sandy Galuppo
According to reports, Merrill Lynch has fired a star broker, Sandy Galuppo, regarding the alleged improper use of his expense account....
FINRA Fines Valic Financial Advisors $1.75 Million
FINRA hit Valic Financial Advisors (VFA) with a whopping $1.75 million fine for a several conflicts of interest having to do with the way...