George Tamer, managing director of the sales team at TD Ameritrade Institutional, and Dan Cronin, who led sales for Schwab Advisor Services, were among the latest to lose their jobs this week as Schwab continues to integrate its former rival.
Former New Jersey State Attorney General Gurbir S. Grewal proposed a uniform fiduciary standard for that state, indicating a possible 'expansive' interpretation of Reg BI in his new role.
The settled charges against 21 investment advisory firms and six broker/dealers asserted that none had filed or posted their forms until receiving numerous reminders from regulators.
The deal allows Concurrent Advisors, a super office of supervisory jurisdiction with Raymond James Financial Services, to create a custom capital solution for its underlying advisors.
Nurture relationships and enhance client satisfaction by pointing clients to platforms that help manage financial workflows and process payments easily and efficiently.
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