Diana Britton is the Managing Editor of WealthManagement.com, covering asset management and independent broker/dealers from all angles. A native of Los Angeles, she now lives in Queens, N.Y.
Founder and bitcoin advocate Bruce Fenton believes all assets will eventually be tokenized, according to CoinDesk.com, and has registered a broker/dealer with regulators to let advisors trade the assets for clients.
'My career in the industry has been effectively ruined,' said Ami Forte, accused of churning the accounts of Roy Speer, co-founder of the Home Shopping Network.
It's not just sketchy supply chains and contaminated vaping oils; Cannabis companies should address these other ESG risks to avoid being seen as “just another ‘sin stock,’” argues Morningstar’s Jon Hale.
A new report by the arbitration attorneys’ group points to continued abuses of FINRA’s expungement process; the group calls for an independent investigation into the latest issues.
Less than a year after Foreside acquired NCS Regulatory Compliance, the firm is buying another compliance consulting firm, Compliance Advisory Services.
Advisor Legacy hopes to fill the gap between practice-listing marketplaces and in-house succession-planning departments at broker/dealers and custodians.