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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
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The hefty FINRA award might not deter firms from poaching difficult-to-find talent.
February 2
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The wirehouse and its attorney “manipulated the arbitrator selection process” and “introduced perjured testimony,” according to the ruling.
February 2
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This elite group of young regional employee representatives collectively generate more than $87 million in annual revenue.
February 2
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The 15-year veteran discusses how she built a massive practice and what this year’s class of award-winning brokers says about the industry.
February 2
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Interest in ESG the desire for personalized investments make these accounts more and more attractive.
February 1
TCI Wealth Advisors -
The 2022 outlook looks to be much the same.
February 1
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The bank plans to let the digital advisor operate as a standalone unit while looking for near-term “easy wins.”
February 1
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The Financial Services Institute and nonprofit Inroads launched a new collaboration designed to foster more underrepresented advisors.
February 1
