Finra claims StateTrust charged unfair prices in 563 transactions
The two helped set up program targeting advisers who give preferential treatment to clients.
Regulator asking for list of top 20 producing reps at the targeted B-Ds who use social media.
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.
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
Dan Levin's radio show is called “Investment Talk,” but since last September, he hasn't had a license to sell investments as a broker. And he's not licensed to give investment advice as an adviser. What gives?
As complexity grows, so does need for clear language, group told
If deal stands, would mark another win for Schlichter.
InvestmentNews roundtable panel debates rules for advisers vs. brokers.
Group worries that proposal would disparately affect African American retirement savers, reps
Firm says its registered reps are looking to join another B-D
Finra said its Southern regional director had resigned to pursue other interests, but a self-proclaimed whistle-blower is taking credit for his departure. Dan Jamieson reports.
Quick expungements are the rule and nearly all cases get OK'd.
Atkins had oversight for Florida, Atlanta, New Orleans.
Judge denies most claims; next stop is Finra arbitration.
