LPL Adds Washington Office; Hires Chief Lobbyist
CEO Casady says "it's crucial" that advisors and the investors they serve "have a voice in the policy discussion at the federal and state level."
FINRA Warns About Investing in Nigeria, Lebanon, Other Frontier Markets
FINRA issued an investor alert, saying these markets have “heightened risks.”
SEC, FINRA Enforcement: Swiss-Based Firm Bilks U.S. Investors of $11M
Meanwhile, FINRA fined Deutsche Bank Securities for deficiencies in its lending program while Argentus Securities was censured and fined on AML failures.
6 Overlooked Criteria for Broker-Dealer Due Diligence
It’s not surprising that when the majority of registered reps look to change their broker-dealer, they tend to focus on short-term factors and immediate satisfaction.
Growth and Austerity
The economic story unfolding in Europe raises questions for all business leaders.