Peregrine Financial Group Inc. Chief Executive Officer Russell Wasendorf Sr. said in a signed statement linked to his suicide attempt that he committed fraud for two decades at his Cedar Falls, Iowa-based company, according to a federal complaint.
Futures firm in Iowa may not have sufficent funds to pay off customers; NFA has stepped in
Seventy-year-old Elaine Tettemer Marshall holds 15% stake in Koch industries; worth $12.7B
Tuttle originally planned to retire in 2014; COO tapped as replacement
About 80% of advisory firms now have written policies about social networking, compared with 64% last year and 43% in 2010, a recent survey of 555 compliance professionals found
Financial advisers will have opportunities to help their clients navigate the new health care law.
Brokers and other observers say a culture clash and cost cutting have left legacy Smith Barney reps feeling demoralized and could cause more of the firm's brokers to leave.
