Wealth Management industry news covering the financial markets, trends and wealth professionals.
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NASD Regulation today announced a disciplinary settlement in which it fined Tower Square Securities, a subsidiary of Citigroup with 700 brokers, $200,000 and ordered the firm to make $4.3 million in restitution to a Louisiana Public School System...
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This section is a great location to display press releases pertaining to real estate. Location, location, location...this is it! The best location to announce special properties for sale or auction, new hires,job promotions, awards, etc. If you...
The NASD received 363 comments on its proposed detailed set of rules governing how brokers can correct inaccurate customer dispute information on their CRD records, the NASD told Registered Rep. Magazine. The comment period ended Tuesday after...
