This week prosecutors have their hands full of guys who just couldn’t resist dipping into investor funds to pad their pockets. The result? Several separate fraud indictments, as well as a 42-month sentence for one CEO and a $600 million SEC...
FINRA has stepped up the number of cases and the value of fines they levied against advisors last year, but that doesn’t neccessarily mean that the indstury's self-regulatory organization is getting any tougher.
FINRA increased the size of...
Pure branch managers are being replaced with those that double as producing advisors. It’s a tough job, and one that may threaten other reps in the office.
Why smaller firms and boutique shops have the advantage in the T&E space
