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Douglas Cowgill, the firm's president and chief compliance officer, attempted to disguise the shortfall from SEC examiners by entering a fake trade in the firm's account records, according to the SEC complaint.
May 5 -
FINRA barred a former bank advisor from the industry for attempting to swindle customers and fined and suspended two others for violating standards of commercial honor.
May 5 -
Conventional wisdom holds that allocations should become more conservative as investors enter their retirement years, decreasing the exposure to equities. Now research shows the opposite may be true.
May 5
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Barclays Plc, Credit Suisse Group and UBS will face questions this week about key banker departures, legal challenges and their efforts to boost profitability.
May 5 -
Warren Buffett, who invested $5 billion in Bank of America, said he's confident the lender will overcome an accounting mistake that forced the firm to suspend an increased payout to shareholders.
May 5 - Money Management Executive
Tips for Entering the Social Media Landscape
May 5 -
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Advisors are bound to manipulate clients -- and that's not necessarily a bad thing.
May 5 - Money Management Executive
Complexity, Competition and the Importance of Operations
May 5 - Money Management Executive
What Are Providers, Fund Execs Doing to Attract Young Talent?
May 5
