Specifically, the study found that Oppenheimer & Co., Wells Fargo Advisors Financial Network, and First Allied Securities had the highest rates of advisors with disclosure events on their records. Meanwhile, the ratio at Morgan Stanley was the lowest, at less than 1 percent of its advisors with misconduct.
Source: Almost Half of Advisors Fired for Misconduct Rehired | Rulebook
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David R. Duringer, JD, LL.M, is a concealed firearm instructor and tax lawyer specializing in business and estate planning. He is managing shareholder at Protective Law Corporation, serving Southern California from its Laguna Hills (Orange County) headquarters and a satellite office in Coronado (San Diego County).
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