Margarida Correia

FINRA reprimanded the former rep for allegedly falsifying personal documents as accommodations for HSBC bank customers.

The former rep allegedly stole $1,380 from a customer's bank account by issuing and then using a debit card without the customer's knowledge.

Shifting to advisory business means firms will have to develop new incentives to attract talent, as the job will not offer the same earning gratification as it once did.

FINRA blasted the former rep for allegedly making unsuitable recommendations in unit investment trusts that cost customers more than $1 million in losses.

The trio expressed confidence in their ability to weather the impact of the rule on their wealth businesses during recent earnings calls.

Despite a challenging operating environment, the broker-dealer’s earnings soar from the previous quarter.

The traditional grid that delivered handsome payouts for advisers will likely go away for all but the top performers.

Industry veteran Scott Schmid will oversee the San Diego market for its Private Client Reserve beginning May 9; hopes to double headcount in 2 years.

The large Northwest Pacific institution abandoned its third-party broker-dealer for CUSO Financial Services.