FINRA shut down Gunn Allen Financial Monday morning for failing to meet net capital requirements. The Tampa-based independent b/d, which has had a history of legal and regulatory trouble, was warned on Friday that it...
Online job boards have proliferated over the past decade. But while they're okay for trainees and lower-tier advisors, veteran FAs still rely on referrals.
Some lawyers and executives anticipate an overhaul to the broker protocol agreement, which has gotten unruly with the growing number of signatory firms, the rising number of exceptions attached to the agreement and...
This week the Financial Industry Regulatory Authority announced it is seeking the SEC’s approval to expand the amount of information made public on current and former brokers’ permanent records in its free...
