At our Broker-Dealers of the Year roundtable in Chicago, we met with the winners of the 22nd annual contest to discuss the direction of the industry and their success overall. They had plenty to say, and the full discussion can be found here, but we couldn’t resist pulling them aside for a one-on-one. Here, Editor-in-Chief John Sullivan talks to David Pintaric, president of WRP Investments Inc. and Division II winner of the 2012 Broker-Dealers of the Year, about running a family firm and transitioning firms from one generation to the next.
The discussion will focus on steps that can be taken to enhance ability of regulators and BDs to combat retail investor fraud.
One type of policy to consider: a survivorship UL policy with only one of the insureds still living.
Taxpayers need a better understanding of their obligations when it comes to virtual currencies, Rep. Kevin Brady wrote.
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