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FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.
February 8
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R. David Yost and his soon-to-be-former son-in-law are slugging it out in court over allegations of tax evasion.
February 8
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Deutsche Bank promoted Charlie Burrows to oversee the expansion of the bank’s wealth management unit across the southeastern U.S., as the German lender builds out its business of catering to the ultrarich.
February 8
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Furman Alexander Ford, who once jumped his fence to avoid federal agents, will head back to trial in May for a separate criminal case involving Medicare fraud.
February 7
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Net new assets soared in 2021, even though the firm's pandemic-related pause in hiring and training overhaul has trimmed its force of brokers.
February 7
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Some of the largest firms and their most stringent critics are wondering what Gary Gensler’s team will do in 2022 with Reg BI.
February 4
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The firm’s industry-leading headcount of financial advisors expanded by thousands last year, with more recruits coming in their wake.
February 4
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Leadership worried that by trying to be everything to everyone, the association risked diminishing its appeal and determined to address the issue once and for all.
February 3
Financial Planning Association -
Jeffrey Santulan and his company, Safeguard Metals, are facing enforcement actions by the SEC, the Commodity Futures Trading Commission and 27 state securities regulators.
February 3
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A group of lawmakers teamed up Thursday to introduce bipartisan legislation that aims to create a workable structure for taxing purchases made with cryptocurrency.
February 3
