Broker busted for CE cheat sheet

By Staff | December 18, 2012 | Last updated on December 18, 2012
1 min read

The inimitable Bill Singer is the source of our fifth news item of the day dealing with bad behaviour in the financial services industry.

David Kevin Roddey, registered with Citigroup Global Markets Inc. during the period relevant to the FINRA investigation that scooped him up, was busted for using a widely circulated cheat sheet for a continuing education course. He received the exam answer key in a 2008 email.

Rounding out the top 5:

Rep fined $30,000 over suitability

Morgan Stanley fined $5 million over Facebook IPO

Regulators ban and fine B.C. man $700,000

Deutsche Bank allegedly evades taxes; 3 arrests over Libor staff


The staff of have been covering news for financial advisors since 1998.