More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been
The dealers’s approach to supervisory reviews effectively excluded fee-based accounts with large, uninvested cash holdings
Proposed settlement concern the dealer’s oversight of fee-based accounts
BCU advisors gain access to the Raymond James wealth-management platform
Brokerage firm had good reason to terminate advisor
Veteran Kyle Rookes brings more than a decade of M&A and capital markets experience to the firm, with a focus on the oil field services sector
Russell Green appointed managing director
Marwan Kubursi and David Novak join Canadian team
Kevin Webber and Daniel Brodlieb were drawn to Raymond James for its “unique culture that celebrates and nurtures independent advice”
These fledgling firms are using technology to communicate with, and educate clients about, the importance of remaining invested, even when the market takes an eventual downward turn