Morgan Stanley (MS) defended its role in Facebook Inc. (FB)'s initial public offering after a Massachusetts regulator subpoenaed the bank over talks between an analyst and investors about the social media company's revenue outlook.
Additional features aimed at boosting ease of use, robustness of adviser database
Hiring of graduated on the uptick, but certain majors much more in demand; avoid communications
Billionaire says borrowing money to pay for school 'the equivalent of flipping houses'
Whiteboard animation also likens investment advisers to dieticians
Finra requested comments two weeks ago about disclosing more info through BrokerCheck - including brokers' exam scores. Reps' responses? Less is more.
Fourth big signing for firm this year; 'a great mousetrap'
The Financial Industry Regulatory Authority Inc. is looking for input on how it can increase investor use of its BrokerCheck system.
Claims agents coached them to tell insurer they were paying for policy premiums when outside parties actually did so
In March, Aviva sued six life insurance agents over Stoli policies sold to 119 members of a church in Los Angeles. Now, those agents have fired back, claiming the carrier consented to the offer of the coverage.
Arnold named CFO; currently head of strategy
Brokerage also said to informs reps it will not fill limit orders at $43 due to low volume
