Keyword: Branch managers

26 results found

Two transactions found to be contrary to the best interests of Capital Hill Fund

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