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.
Did someone forward you this newsletter? Sign up here to receive it direct.
You are subscribed to this newsletter as newsletter@newslettercollector.com
To ensure uninterrupted delivery of this critical eNewsletter alert be sure to add WealthManagement.com and the reply address to your list of safe sender contacts.
