House representatives push back on the new rule package, as well as the recovery efforts related to the Stanford Ponzi scheme, which has returned just 4.5 cents on the dollar to victims.
In two arbitrations, a panel awarded National Securities and former branch manager Gerald Sharpe approximately $170,000 each, a net gain of just $2,000 for the branch manager.
Firms that take part in the Wealth Management Industry Awards submit their most recent initiatives for review. All the finalists submissions are included in the The Best of the Best for 2019, a special edition of Wealth Management magazine.
