The new enforcement head Tom Sporkin and his team now oversees the detection, investigation and prosecution of alleged violations, while another team will handle the adjudication, a move that mirrors the workflow at the SEC and FINRA.
Mindy and Louis Diamond dispel some of the myths and misperceptions that often stop advisors from leaving their current firm for the independence model.
Pershing’s Claire Santaniello explains everything you need to know about advisor-oriented digital innovation to achieve progressive and lasting workload results.
Join on Feb. 24th for the Technology CE Digital Forum event. Live, interactive sessions will be paneled by leading executives at award-winning firms covering the state and future direction of technology.
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