NEW YORK--(BUSINESS WIRE)--Leading global professional services firm Alvarez & Marsal (A&M) announces the appointment of Anthony Italiano as Managing Director and Co-leader of its Broker-Dealer ...

A broker-dealer (the “Dealer”) entered into a cease-and-desist order with the Securities and Exchange Commission for failing to maintain and enforce written policies and procedures reasonably designed ...

A growing number of financial advisors have been leaving their broker-dealer (BD) firms to start or join a registered investment advisor (RIA), an annual industry analysis has found. The study noted ...

NEW YORK--(BUSINESS WIRE)--Global professional services firm Alvarez & Marsal (A&M) announces the appointment of Christopher Chatfield as Managing Director within its Disputes and Investigations (DI) ...

The Securities and Exchange Commission has charged a registered broker-dealer with violations of Regulation Best Interest. First Horizon Advisors, LLC, was found to have not maintained and enforced ...

The Securities and Exchange Commission charged registered broker/dealer First Horizon Advisors. with a Regulation Best Interest violation related to the firm’s recommendations of a type of structured ...

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A struggling broker-dealer’s efforts to close all of its retail customer accounts by applying theories of abandonment, including mischaracterizing securities as “worthless” and making misstatements ...