SRO's boss says issue now a top concern for regulator; also homing in on disclosure for complex products
Court receiver claims NRP failed to oversee accused adviser; 'one of the largest Ponzi schemes in Minnesota's history'
CapWest Securities Inc. last week filed its broker-dealer withdrawal papers with the Financial Industry Regulatory Authority Inc.
Last year's stock market volatility has taken its toll: Financial advisers are a lot more skittish about equities now than they were at the start of 2011.
Finra in no way gave special treatment to Jon Corzine, former chief executive of bankrupt MF Global Inc., according to CEO Richard G. Ketchum
Regulator fines Wells Real Estate unit $300K for misleading marketing; says distributor claimed Wells Timberland was a REIT when it wasn't
Independent broker-dealers owned by insurance companies, once the dominant players of the industry, will continue to dwindle in size and importance over the coming decade, unable to keep pace with more nimble competitors that invest in, and increase, investment advisory services for reps.
If Dale Brown were a movie producer instead of a lobbyist for independent broker-dealers, he might be preparing a sequel.
