A FINRA arbitrator found that a broker at RBC Capital Markets offered misleading information about the investments made on behalf of an 80-year-old retired secretary and ordered the firm to pay $50,000, plus interest.
Woodbridge's former owner and directors of investments were arrested, accused of orchestrating a far-reaching Ponzi scheme that defrauded thousands of investors, most of whom were elderly.
She claims her son’s advisor put her into investments that were not risky enough for the fees she was paying. In most cases of elder financial abuse, it's the other way around.
How much due diligence is necessary to protect clients from fraud?
Michael Murray now reports directly to Cetera President Adam Antoniades, emphasizing the priority the firm has placed on recruiting, which faltered in 2018.
Tune in to a conversation with Chris Dupuy, managing director and chief operating officer of Rockefeller Capital Management.
San Francisco State University received millions in Ripple's XRP for its business school but faced challenges converting to dollars.
She becomes one of a small handful of women chief executives in the independent brokerage space.
