Posted On: 02/29/2016 4:49:17 PM
Post# of 63863
Financial Adviser Misconduct - Most Cited
% of advisors cited for misconduct
Top 10 firms according to percentage of financial advisers
who have been cited by industry regulators for misconduct.
Oppenheimer & Co. 19.6%
First Allied Securities 17.7%
Wells Fargo Advisers 15.30%
UBS Financial Services 15.1%
Cetera Advisers 14.4%
Securities America 14.4%
National Planning Corp. 14 %
Raymond James 13.7%
Stifel, Nicolaus & Co.13.3%
Janney Montgomery Scott 13.3%
“The firms with more misconduct are located in areas
with less educated people and more elderly population,”
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