“I do not have clients and I do not provide personalized investment advice for fees or commissions,” said Keith Gill, aka Roaring Kitty. “I did not belong to any groups trying to create movements in the stock price. I have never had a financial...
New enforcement head Tom Sporkin and his team now oversee the detection, investigation and prosecution of alleged violations, while another team will handle the adjudication, a move that mirrors the workflow at the SEC and FINRA.
Pershing’s Claire Santaniello explains everything you need to know about advisor-oriented digital innovation to achieve progressive and lasting workload results.
Mindy and Louis Diamond dispel some of the myths and misperceptions that often stop advisors from leaving their current firm for the independence model.
