Practice

Members of Congress question whether the company is doing enough to protect inexperienced customers engaging in high-risk investing.

At home or under a socially distanced beach umbrella, these diverse titles will help while away this singular season.

“The face of our industry is typically not me,” says the Vanguard and DFA veteran. “I thought about how many young people that I could inspire. So I raised my hand.”

A former engineer claims he was “routinely harassed and discriminated against” by the custodian and its management.

The two companies have deep ties and are now formalizing the bond.

The shift comes after the bank reported its first quarterly loss since 2008.

The 4,000-person regulator in March was one of the first federal agencies to tell employees to stay home due to the public health emergency.

Earlier this year, FINRA arbitrators granted the former advisor’s expungement request, but still sided with the firm on its demands for repayment of two promissory notes.

“Overall there were not many positive data points to hang your hat on,” according to analysts. Advisor headcount, net interest income and assets were down.

Chief information officer Frank LaQuinta reveals the firm’s $500 million acceleration strategy, plus how advisors are using technology during the coronavirus pandemic.