Ballotting for Investment Advisor’s 17th annual Broker/Dealers of the Year awards will take place online only at www.investmentadvisor.com from June 1 through July 1. All currently producing representatives of the independent broker/dealers listed in our directory are invited to participate, though to help ensure the integrity of the voting, you must provide us with your individual and B/D CRD numbers, and your contact information. Please visit www.investmentadvisor.com and click on the B/D of the Year button to cast your ballots and view the voting rules. Results of the balloting will be announced in the September 2007 issue.
Simon also talks about IAA's push to restore and expand the deductibility of fees on financial planning advice.
Patrick Mahoney, a former chief marketing officer for the IEEE, has been named interim CEO.
Former broker invested about $550,000 of clients’ money in his friend’s energy firm, regulator says.
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