Sarah Teslik, CEO of the Certified Financial Planner Board, which monitors and supports the widely used CFP designation, announced in mid-October that she would resign from her post on Oct. 31 to take a position at Apache Corporation, an energy...
Less than 10 years after they settled the infamous boom-boom room case, Smith Barney is being sued for discrimination again. The new case, Fassbender Amochaev v. Citigroup Global Markets, Inc., d/b/a Smith Barney, was filed in United States...
NASD has been watching for brokers and firms who borrow from clients, agree to share losses or settle disputes privately
New York's highest court will soon decide whether a brokerage employee can contest the language an employer uses in the Form U5