John Lindsey: How Edward Jones ‘Brutalizes’ Breakaway Brokers
When John Lindsey broke away in 2012, Edward Jones sued for $5 million. But Lindsey fought back and is helping other brokers do the same.
FINRA to Hike BD Fees in Effort to Recoup ‘Significant Loss’
FINRA CEO Richard Ketchum told BDs that the broader economic downturn "has led to a decrease in FINRA’s revenues and resulted in a significant loss for fiscal year 2011.”
New Hire Roundup: SEC Welcomes Norberg; Fleming Joins FINRA Board
This week in new hires, Jane A. Norberg joined the SEC as deputy chief of the Whistleblower Office; Gregory J. Fleming was elected to FINRA's board of directors; Mike Anderson went to Securities America; and Dan Dorfman joined Trim Tabs Money Blog as a columnist.
The Advisor's Advocate
The beginning of a new year is always a good time to catch up with Dale Brown, president and CEO of the Financial Services Institute.