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New SEC boss Jay Clayton says regulator wants to “simplify and enhance tools…to help investors conduct background searches on their investment professionals.”
For years, alternative investments like hedge funds, commodities, and private equity were out of reach for individual investors. That’s starting to change.
Complex manager William Shinners to retire at age 60, following a rash of other metropolitan New York middle-management exits.
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Finra said that the broker borrowed $52,000 from a client in violation of LPL’s policies.
Former client associate willfully failed to disclose two felony and two misdemeanor drug violations from September, Finra said.
Finra alleged Pennsylvania broker made unsuitable trades in non-traditional ETFs for conservative customer.
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