While certain channels are expected to lose market share over the next decade, we’re prepared to see a rise in the number of RIA firms. To learn how you might get in on the growth story, read this whitepaper.
FINRA, the SEC and the Commodity Futures Trading Commission fined Interactive Brokers for failing to properly support its own anti-money laundering program.
Lantern Investments Chief Compliance Officer Wendy Lanton will help represent small firms on the regulatory agency's board of governors, while Securities America's Jim Nagengast will continue to represent larger firms.
The SEC claims that Jack Brewer, a former investment advisor, sold shares of penny stock COPsync, a company he consulted for, knowing the stock price would fall.
