The Investment Advisor editorial staff wishes to extend special gratitude to the leaders of the 2006 Broker/Dealers of the Year for their willingness to share their time and insights and suggestions during the past year. Brian Murphy of Woodbury Financial, Ralph DeVito of The Investment Center, Gordon D’Angelo of NEXT Financial, and Scott Yamamura of Contemporary Financial Solutions constituted the inaugural Investment Advisor Broker/Dealer Advisory Board. From their candor in the multiple conference calls we held, to their diligence in completing survey forms that helped keep our finger on the pulse of the independent broker/dealer universe, they were class acts all the way.
Brokers and firms are abusing the expungement process, lawyers who represent investors say.
Investors have pulled at least $902 million since Fisher made lewd comments at the Tiburon CEO Summit.
Some reps have also been conducting “electronic sales seminars” on digital channels that were not permitted by their firms, FINRA said.
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