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
New name will come into effect on Nov. 1
The fund dealer is likely to become undercapitalized, according to the MFDA
Firms must be careful not to inherit problems when acquiring another dealer
Regulator would like to improve its outreach to smaller firms
Prospective fund rep failed to disclose her prior employment in registration application