Carl Ayers
FINRA’s periodic retrospective rule review process has yielded a number of significant changes. This time, the SRO has flagged its carrying agreements’ rule (rule 4311) ...
JH Darbie & Co. is in search of a new FINOP. The New York-based broker-dealer settled charges against the firm March 27 for violating the ...
As a reflection of the risks cyber bad guys present, OCIE plans to launch its third cybersecurity sweep exam in four years (IA Watch, June ...
Three years ago, we reported how some OCIE examiners were issuing deficiencies because they interpreted the way Fidelity’s contract was written gave advisers custody – ...
Whistleblowers, the U.S. Supreme Court ruled in February, deserve anti-retaliation protections under Dodd-Frank only when they bring their allegations to the SEC (IA Watch, Feb. ...
The rollercoaster ride that has been the Labor Department’s fiduciary duty rule has taken another sharp turn. But hang on
The client agreement between Schwab and an investor no longer includes language giving the authority to make first-party money wire transfers. Count this as a ...
Long before the me-too movement, former broker-dealer Blackbook Capital fired Ahmed Gadelkareem for repeatedly “threatening and abusive interaction with female employees.” The story begins ...