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The brokers with outages or problems include the most prominent names in the discount and online brokerage industry, including Fidelity, the Charles Schwab Corp., TD Ameritrade, ETrade Financial Corp. and Robinhood.
A social media platform and ready access to mobile trading apps have helped push an otherwise obscure, money-losing videogame retail business to a $21 billion market cap.
Since the GameStop stock options frenzy that quietly began early this month and exploded over the past week, some traders have followed by investing in other shorted stocks, with prices surging far past the returns seen in the indexes that include them.
Record profitability in wealth management in the Americas was driven by growth in loans, separately managed accounts and adviser productivity, the company said.
Brendan Biruk and Dan Rattigan form Washington Crossing Financial Group in Washington Crossing, Pennsylvania.
Charles Kenahan had already been barred by the state of New Hampshire in December.
The loan program was aimed at buoying businesses with less than 500 employees; while National Securities surpassed that number of reps and advisers, those were not employees, but rather independent contractors.
Scott Phelan, Kevin Myers and an assistant switch firms in Atlanta.
Morgan Stanley boosted its chief executive’s pay 22% to $33 million for 2020, when the Wall Street bank posted its third consecutive year of record earnings and announced two large deals.
Finra is concerned that some reps are receiving federal financial support connected to work they’re doing outside of their brokerage jobs. Its exams are not part of a sweep; they target individual reps who received loans.
- Alternative Investments
- Bonds / Fixed Income
- Client Prospecting
- Client Servicing
- Defined Benefit Plans
- Defined Contribution Plans
- Health Care
- Individual Retirement Accounts
- Independent Broker-Dealers