Trump campaign manager Kellyanne Conway pinch hits for Priebus and Scaramucci, Luis Aguilar casts doubt on an SEC fiduciary standard, and fiduciary advocates get real on the DOL rule at the 2016 MarketCounsel Summit.
Bank to pay $16.5 million for relying on brokers to identify and escalate potentially suspicious trading activity.
Blucora will initially roll out the technology to its tax preparation software customers. But is it competition or lead generation for the b/d’s advisors? An exec says the latter.
The ruling could make it easier to prosecute people accused of profiting for confidential information.
Several brokerages named top places to work for LGBTs, HighTower adds a team from UBS and W.R. Berkley launches insurance products for the high net worth.
Five hours of oral testimony presented
First Circuit sends Cavallaro case back to the Tax Court
