Ex-Raymond James Rep in Hot Water Over Account Conversions: FINRA
By Melanie WaddellPaul Snow switched 13 advisory accounts to brokerage accounts and made trades without disclosing material facts, an order states.
April 07, 2026
4 Ways to Put 'Success' in Succession PlanningFew choices carry more weight than a successor, yet many leaders leave that search until it's nearly too late.
April 07, 2026
Hightower Acquiring $3.2B Lexington WealthThe group being bought employs 25 professionals, including 16 advisors.
April 07, 2026
Wall Street Watchdogs Pull Back Amid Trump's Deregulatory PushCritics of deregulation worry about what may fall through the cracks.
April 07, 2026
Morgan Stanley Plans Private Credit Fund Even as Investors FleeThe North Haven Strategic Credit Fund may include "a wide spectrum of credit strategies," an SEC filing states.
April 07, 2026
Medicare Advantage Program Managers Blink on 2027 Subsidy IncreaseInsurer groups' cautious reaction suggests that turbulence for enrollees may still lie ahead.
April 06, 2026
FINRA Slams J.P. Morgan Securities With $3.25M Fine Over Rep's Risky StrategyThe rep used a complex investment strategy involving concentrated positions in high-yield securities as well as leverage.
April 06, 2026
NYC Families Need Over $125,000 in Income to Live in Any BoroughTwo new reports say New York families need six-figure incomes to live without government assistance.