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Joshua David Nicholas adds federal charges to a long list of fines, citations and ejections from the industry.

At our firm, we’ve accepted that the way people work and the environments in which they work have changed for the long haul, and we have taken a hybrid approach to returning to the office.

Charles Reiling is president and CEO of CoastalOne, an independent broker-dealer (Coastal Equities) and registered investment advisor (Coastal Investment Advisors) hybrid platform based in Wilmington, Delaware. 

Capital gains distributions running to the hundreds of thousands of dollars hit certain clients with painful payments due to the firm's flub, a regulator says.

Storing oil, gold and grain costs a lot of money, which is why they're great for trading but terrible as a long-term investment.

Commissioner Hester Peirce said an enforcement matter relating to a million-dollar fraud case fits a “sound” framework for charging compliance officers.

The patriotic-themed fund would trade under the ticker YALL.

Retail investors and private funds alike have flocked to derivatives-powered products this year amid market turmoil to bet on declines and to hedge against various stocks.

Shelly is a Managing Director in BMO Capital Markets where she leads a global team responsible for the first line of defense including Trade Floor Supervision, Business Unit Compliance, AML Operational Risk & Resilience, Crisis Management, Algorithm & Automation Risk, and ESG Risk. The mandate includes preventing loss due to failure in process, people and systems and ensuring the execution of trading and investment banking businesses in compliance with applicable regulations.

In addition, she is focused on integrating data with machine learning and AI to enhance the way we work and make decisions and to focus on real versus perceived risk. She leverages similar technology applied in a different way to design process and organizational efficiencies, influencing across the organization.

Previously, Shelly was the COO for BMO's US Trading business. She has over 25 years of experience across industries. Prior to joining BMO, she was a global COO at Barclays. She has a unique blend of experience in sell-side M&A, corporate infrastructure, risk and in leading large scale regulatory and business transformations.

Shelly earned an MBA from Columbia Business School, an MS from Johns Hopkins University, and a BS from Penn State University. She holds FINRA Series 7 and 63 licenses. She has regulated and non-profit board experience and currently sits on the board of BMO Europe PLC and BMO Harris Investment Co.

She enjoys hiking, fishing, singing, playing guitar and sports.

The right LTCI coverage can preserve savings and confer peace of mind, but it takes a well-briefed advisor to cover its many facets.