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Deadline set for broker-dealer merger with SPAC
The deal between broker-dealer aggregator Wentworth and Kingswood SPAC must be completed by late November.
Link to RIAs is most compelling angle of the KWAC SPAC deal
Broker-dealer aggregator Wentworth's deal to go public via SPAC Kingswood Acquisition Corp. raises a number of questions.
Massachusetts charges broker-dealer for unsuitable sales of leveraged ETFs
Purshe Kaplan Sterling allowed its agents to conduct thousands of transactions involving the complex products as investment adviser reps for another firm.
