The firm relied on “third-party automated surveillances” to check for potentially manipulative wash and prearranged trading which had overly narrow parameters, according to FINRA.
Two investors filed suits this week against the brokerage, claiming the Raymond James Bank Deposit Program benefitted the company at the expense of customers.
As the great wealth transfer looms, financial advisors face the challenge of dispelling misconceptions about their value and embracing technology to engage the next generation and retain assets across generations.
Silvant Capital Management's CIO and Managing Partner Michael Sansoterra opens up about why he believes growth investing is a condition, not a category.
Did someone forward you this newsletter? Sign up here to receive it direct.
You are subscribed to this newsletter as EmailAddress
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.
