LPL Taps Ex-FINRA Regulator for Deputy Counsel Post
The independent broker-dealer also says it has set up a Regulatory Counseling group firmwide.
4 Takeaways for Advisors From LPL Conference
The country’s biggest broker-dealer had several key messages for the thousands of advisors in attendance. Even advisors not affiliated with LPL may find them useful.
LPL Names Ex-SEC Enforcer Head of Legal, Government Relations
David Bergers, former SEC deputy director of enforcement, will be general counsel and lead LPL's legal and government relations efforts.
SEC Names Acting, Deputy Directors of Enforcement
The SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SEC’s Boston Regional Office, has been named acting deputy director.
Fraudulent Families Pt. 1: SEC Settles Father and Son Hedge Fund Fraud Case
Gabriel and Marco Bitran to pay $4.8 million penalty, barred from industry, for claiming a nonexistent track record for their quant hedge funds. There’s a Bernie Madoff connection as well.