BofA Securities Hit With $24M FINRA Fine for Spoofing
By Dinah Wisenberg BrinThe penalty follows orders traders didn't intend to have executed to create an appearance of Treasury market activity.
November 29, 2023
FINRA Fines Ex-Morgan Stanley Employee for Using Cell Phone During Series 7 ExamThe employee used his phone despite telling the proctor it was in another room, according to FINRA.
November 29, 2023
Josh Brown Pulls Plug on Reformed Broker Blog"I'm not that guy anymore," the Ritholtz Wealth Management CEO wrote.
November 29, 2023
Wall Street Icons Want Anyone But Biden, Trump for 2024JPMorgan's Jamie Dimon says voters should support Nikki Haley, while investor Bill Ackman thinks Biden should step aside.
November 29, 2023
Next-Gen Advisors Upbeat on AI: SurveyFor younger financial pros, adoption of the generative technology has been fast and far-reaching.
November 29, 2023
Munger's Top One-Liners on Business, Life and MoreCharlie Munger's blunt style differed greatly from the more folksy style of Berkshire Hathaway partner Warren Buffett.
November 29, 2023
Help Your Clients Conquer Financial Shame, Bestselling Author Urges Advisors"Your clients come to you riddled with shame," Tiffany Aliche says.
November 29, 2023
Advice Industry Needs More Women: Carson GroupUnderrepresentation of women can hurt firms that are not staffed appropriately to meet the clients' changing needs.