Suleman Din is technology editor of American Banker and Financial Planning. Follow him on Twitter at @sulemandn.
-
FINRA has promoted one of its own to head the regulator's disciplinary unit, but still has no replacement for Linda Fienberg's other role as head of arbitrations.
September 10 -
High-net-worth women are savvier about alternative investment choices than their male counterparts, says a study by New York Life MainStay Investments.
September 9 -
Schwab's unsuccessful $15 million claim against Morgan Stanley for poaching brokers shows real animosity between the firms, experts say.
August 27 -
As a FINRA task force is scheduled to review the regulator's arbitration process, critics are charging that firms are using U5 termination forms to sully advisor reputations.
August 11
