The deal could affect more than 700 mutual fund advisors as well as insurance-licensed advisors
Dealers to fund MFDA IPC payouts to clients of insolvent W.H. Stuart
Online surveys gauge views on investment dealers employing fund salespeople
Unique arrangement makes this the first time MFDA-licensed reps are able to offer clients ETFs
Suitability of leveraged investment strategy disputed
Arrangements with former registrants could become particularly difficult, panelists say
Reps will place ETF trades directly on Broadridge’s Dataphile platform
Gravitas intends to purchase 40% of mutual fund dealer’s parent company
Supervisory violations found during MonArc inspections in 2012 and 2013
Former Berkshire head is looking for advisors for Mandeville firms