The Pacific Legal Foundation, which has a record for arguing against “government overreach” before the Supreme Court, is representing Frank Black in the latest case challenging FINRA's Constitutionality.
Christopher Fineburg and Teresa Armel have left Rockefeller Global Family Office, which has become one of the most sought-after options for UHNW advisors, to join Next Capital Management.
Former rep Sidney Lebental is citing FINRA’s legal sparring match with Alpine Securities to halt disciplinary proceedings against him. Meanwhile, FINRA has responded to Alpine’s allegations.
Allworth’s outgoing CEO Scott Hanson discusses the future of the firm, the custodial landscape and why it was important to find a CEO who was not only well-liked, but who had experience creating value.
The commission accused Julie Anne Darrah of a multi-year scheme targeting elderly female advisory clients spanning from before and after her firm joined Wealth Enhancement Group.
