Ghislain Gouraige, a 15-year UBS veteran and former leader of the firm’s Private Wealth Advisory Council, talks about what led him down the path to leave the wirehouse and build NewEdge Wealth with colleague Rob Sechan.
The Board’s Disciplinary and Ethics Commission previously released anonymized iterations of its public sanctions, but starting today the Board will make the actual orders available to the public.
The SEC Chair said there’s inherent conflicts in using algorithms that optimize advisors’ profits and revenues during a conversation at SIFMA’s Public Policy Meeting.
The Pacific Legal Foundation, which has a record for arguing against “government overreach” before the Supreme Court, is representing Frank Black in the latest case challenging FINRA's Constitutionality.
Christopher Fineburg and Teresa Armel have left Rockefeller Global Family Office, which has become one of the most sought-after options for UHNW advisors, to join Next Capital Management.
Former rep Sidney Lebental is citing FINRA’s legal sparring match with Alpine Securities to halt disciplinary proceedings against him. Meanwhile, FINRA has responded to Alpine’s allegations.
