Roosevelt fellow J.W. Mason contradicts the belief that the economy has recovered, Louise Linton goes off on Instagram, and advisory firms can learn how to stay on top from HBO.
A bank-based broker takes Citizens Bank to arbitration for failing to meet some lofty recruitment promises, and wins $1.5 million. Now others are making similar claims against the bank.
Goldco releases a Bitcoin IRA, Ernest Romer III is accused of defrauding clients, and SIFMA redesigns its website to avoid "bottomless silos of information."
Steven Peiken, the new co-head of enforcment, held as much as $9 million worth of stock and William Hinman, the SEC's director of corporate finance, represented big banks and technology companies.
The case offers a rare look at a type of dispute that’s typically handled privately in arbitration. The details speak to a fear among exiting brokers that banks may sully their records to impeach their credibility, justify a dismissal or retain...