FINRA Bars Ex-Broker for Stealing From Elderly Customer
Ex-Wells Fargo broker Jeffrey McClure was permanently barred from the industry for using nearly $89,000 in an elderly client's blank checks for his own expenses.
Leveraged ETFs: What Brokers Don’t Know Could Cost Them
FINRA has ordered Stifel Nicolaus and Century Securities to pay more than $1 million combined for improper sales of leveraged and inverse ETFs.
? At the 2010 Investment Management Consultants Association (IMCA) New York Consultants Conference on January 10, IMCA introduced its new president, John Granzow, who began...
IMCA's New York Conference: A Full House
IMCA's 2010 New York Consultants Conference kicked off on January 11 with a high-powered, high-profile cast including speakers Nouriel Roubini, Barry Ritholtz, Andrew Lo and Rob Arnott.