Keyword: Branch managers

25 results found

Raymond James manager failed to properly supervise rep who recommended margin borrowing to elderly clients

  • By: IE Staff
  • July 9, 2013 December 19, 2017
  • 15:00

Ex Wolverton and Canaccord reps no longer registered

  • By: IE Staff
  • June 3, 2013 December 19, 2017
  • 13:20

Proposed amendments would allow for flexible approach to supervision

Off-site supervisors mistakenly believed trading platform would ensure all options trades were appropriate for client accounts

Former DWM Securities manager failed to ensure that rep’s recommendations were suitable for clients

  • By: IE Staff
  • November 27, 2012 November 27, 2012
  • 11:33

Relaunched branch intended to appeal to entrepreneurial growth-oriented advisors

  • By: IE Staff
  • May 16, 2012 May 16, 2012
  • 09:00

Advisors surveyed this year say branch managers can be "good," "bad" or "ugly"

Former Raymond James manager relied on rep

  • By: IE Staff
  • April 17, 2012 April 17, 2012
  • 11:20

Anu Jain permanently banned from acting as a supervisor for facilitating stealth advising by an unregistered person

  • By: IE Staff
  • March 2, 2012 March 2, 2012
  • 14:00

Mid-level managers should be very approachable and have a solid understanding of the business

  • By: Iris Leung
  • August 26, 2011 October 31, 2019
  • 09:55