UBS Broker Andrew Burish Faces $23 Million In Damages In Failed Tesla Short Strategy
An arbitration claim filed with FINRA has asked for $23 million in damages and has accused brokerage firm UBS of violation of suitability guidelines.
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PFI Advisors Examines Role of CEO in Successful RIAs
The report examines how CEOs allocate their time, how they leverage their executive teams, and Key Performance Indicators they use.
US financial firms should prepare for ESG regulations, with sustainability a key focus
U.S. financial institutions should enhance their compliance with environmental, social and governance (ESG) issues because regulators are watching.
FINRA Announces Resumption Of In-Person Arbitration Hearings
FINRA Dispute Resolution Services has announced it will reopen the majority of its 69 hearing locations across the United States.
Canadian RIA CI Gets Serious About US M&A
CI Financial will spend $5.1 billion to acquire Dowling & Yahnke as the Canadian RIA continues to expand its presence in the United States.
COVID Hiring Freeze Ends At Edward Jones
The wealth management network said in a statement that it would begin hiring second-career recruits again but do so in a slow and thoughtful manner.
Merrill Launches Paperless Account Onboarding
It isn't about advisor efficiency. Traditional Wall Street firms are desperate to compete against the convenience of competing robo investing tools.
