Regulator asking for list of top 20 producing reps at the targeted B-Ds who use social media.
Broker-dealers, feeling the heat from regulators, are changing how they sell alternatives. Bruce Kelly has all the details.
Judge tosses class action suit over investments in Apple REITs; Finra arb cases await
Barnaby Grist was a high-profile — and defining — hire for Cetera Financial in 2010. A little more than three years later, the head of the brokerage's wealth management unit is leaving due to personal reasons.
Stole $7 million from clients, including his father-in-law; custodied with discount brokerage
Moved clients out of long bonds months ago; 'running in front of a steamroller'
Economy, Medicare factor into new Fidelity forecast but decline is only temporary
Finra has charged brokerage chief Tommy Belesis and his firm, John Thomas Financial, with fraud in a front-running scheme to make $1 million on a penny stock. Bruce Kelly has the story.
Billionaire investor calls end to Fed's QE program bullish.
Survey shows 401(k) clients at smaller businesses expecting ramped-up service; fees the only thing they want less of
Investors' approval of their advisers continues to increase after dropping sharply in the aftermath of the credit crisis. Liz Skinner tells why.
Finra has killed its proposal requiring reps and firms to provide a URL to BrokerCheck on their sites and social- media pages.
Stop us if you heard this one before: Finra has banned a broker who allegedly convinced scores of NFL stars to go into an unsuitable investment (this time, a casino). And yes, the deal went bust.
The Ravens proved they were champs of the gridiron in the Super Bowl; for 'investors' they were so-so performers
A proposal from Finra would require B-Ds — and possibly reps — to link to the broker database from their websites.
Claims wealth management unit engaged in questionable business practices in bid to land professional football clients
