Wendy Lanton and Jim Nagengast have been elected to represent small firms and large firms, respectively, on the board of the Financial Industry Regulatory Authority Inc.
Lanton is chief operations and compliance officer at Lantern Investments Inc., of Melville, New York. She will serve a three-year term as a small firm governor.
Large firms reelected Nagengast, who is chief executive of Securities America Financial Corp. and president of Securities America Inc. He has served on the Finra board since 2018, when he was elected by large firms via a special election to fill a large firm governor vacancy.
Finra is overseen by a 24-member board of governors, the majority of whom are public members. The industry governors include three from large firms, one from midsize firms and three from small firms, as well as one floor member, one independent dealer/insurance affiliate and one investment company affiliate. Finra governors are appointed or elected to their terms and may not serve more than two consecutive terms.
Elsewhere in Utah, Raymond James also welcomed another experienced advisor from D.A. Davidson.
A federal appeals court says UBS can’t force arbitration in a trustee lawsuit over alleged fiduciary breaches involving millions in charitable assets.
NorthRock Partners' second deal of 2025 expands its Bay Area presence with a planning practice for tech professionals, entrepreneurs, and business owners.
Rather than big projects and ambitious revamps, a few small but consequential tweaks could make all the difference while still leaving time for well-deserved days off.
Hadley, whose time at Goldman included working with newly appointed CEO Larry Restieri, will lead the firm's efforts at advisor engagement, growth initiatives, and practice management support.
Orion's Tom Wilson on delivering coordinated, high-touch service in a world where returns alone no longer set you apart.
Barely a decade old, registered index-linked annuities have quickly surged in popularity, thanks to their unique blend of protection and growth potential—an appealing option for investors looking to chart a steadier course through today's choppy market waters, says Myles Lambert, Brighthouse Financial.
