While some firms struggle with manual processes and paperwork, industry leaders are leveraging automation to scale their practices and deliver exceptional client experiences.
The regulator said the ruling in the case concerning Utah-based brokerage Alpine Securities won’t affect day-to-day operations. However, those closely watching the case believe it could challenge FINRA’s legal foundation.
Wealthstream's Michael Goodman describes his philosophy and approach behind managing a successful wealth advisory firm and serving clients with meaningful wealth and complex financial needs.
According to the commission, James David Burleson’s scheme caused over $3 million in losses for his clients and a 26.5% positive return for himself. The SEC argues the probability that divergence occurred by chance was “less than one in a million.”
The Financial Industry Regulatory Authority must let the US Securities and Exchange Commission weigh in before it can cast out one of its members, a three-judge panel of the US Court of Appeals for the District of Columbia found.
Gensler’s term was set to expire in 2026, but he announced today that he will leave on Jan. 20, 2025. He called working with the commission’s staff “an honor of a lifetime.”
