FINRA’s ‘Total Warfare’ Against Brokers in Arbitration
Breakaway brokers and pros across the financial industry cite biased panelists, missing hearing records and a 93% win rate for brokerages.
Investors Flee Bubbly Valuations, Seek Value: TrimTabs
TrimTabs CEO David Santschi says investors have made a massive shift from growth to value stocks this spring, creating opportunity for traders sifting through carnage.
Banker Deaths Worry Industry as Coroners Probe
London coroners are preparing to investigate two apparent suicides as unexpected deaths around the world have raised concerns about mental health in the finance industry.
New Hire Roundup: BlackRock Names Jones CIO for Americas Stocks
In addition, Sibson Consulting announced that Shane Conlon has joined the firm as a senior retirement consultant.
New Hire Roundup: Charlson to Head Morningstar Alternative Funds Research
Meanwhile, the American Benefits Council names new board members and officers, and CFPB adds experts to senior posts.
New Hire Roundup: Altegris Names Jack Rivkin CIO
Meanwhile, Convergent welcomed Richard Wells and the Senate Finance Committee approved three nominees for federal positions.
$900M UBS Group Moves to Dynasty; LPL Team Jumps to Raymond James
The New York-based team going independent includes four former wirehouse advisors, while the LPL group has three reps at $310 million in assets.
NEXT Financial Seen as Ripe for Schorsch’s Next Big Buy
An industry expert says the rep-owned IBD could be next in the real-estate magnate’s buying spree.
Top 10 Wall Street Crooks: Insider Trading
Using confidential information to make a mint is nothing new. Here are 10 that carried on that fine Wall Street tradition.
How to Get Paid for Retirement-Plan Advice: Pretax Dollars
If you’re giving advice to an individual company retirement plan, you can get paid directly from the Self Directed Brokerage Account option.