by
Paige Smith
The firm says its Active Trader Pro platform boasts faster processing speeds.
by
Jacqueline Sergeant
A Finra panel ruled that the firm failed to properly supervise one of its Miami reps.
by
Tracey Longo
Voters in this year's elections may be the ones who ultimately decide the rule's fate.
by
Tracey Longo
The company agreed to the penalty after self-reporting the Reg BI violations, the agency said.
by FA Staff
Taylor Thompson is a 22-year veteran
by
Tracey Longo
The agency needs to be more clear about how firms should comply with communications rules, Morgan Lewis attorneys say.
by
Claire Ballentine
The firm is offering users “forecast contracts” with yes or no answers on a host of political outcomes.
by FA Staff
The Noble Group, founded in 1996, comprises nine advisors and 13 support staff.
by
Guillermo Molero
Former CEO Dan Arnold often spoke of maintaining a strong company culture.
by FA Staff
Taryn Moll and Peter Henziak in Irvine, Calif., have joined the firm's employee advisor channel.
by
Karen DeMasters
The violations included failure to keep track of employees' electronic communications, Finra said.
by FA News
The firm said CEO Dan Arnold made statements to employees that violated its respectful workplace policy.
by FA Staff
The former TD manager who allegedly committed the fraud is facing a criminal trial.
by FA Staff
Walt Bettinger will remain on the board of directors as executive co-chairman.
by
Jennifer Lea Reed
With up-front money for job-hopping advisors hitting highs, advisory firms are finding new ways to compete.
by FA Staff
Cheri Belski spent more than two decades with T. Rowe Price.
by FA Staff
Robert M. Vance sold clients $4.3 million worth of the troubled L bonds, the agency said.
by
Tracey Longo
Adam Gana also said he will also fight to end mandatory client arbitration clauses.
by
Christopher C. Williams
The company has launched a certification program to help its advisors serve the minority community.
by FA Staff
The agency said the firms exceeded client investment limits for a complex yield product.
