In the Media

Wealth Management (September 22, 2021) - In her first address as the 104th president of the North American Securities Administrators Association, Maryland Securities Commissioner Melanie Senter Lubin…
InvestmentNews (September 21, 2021) - The new leader of the umbrella organization for state securities regulators took office Tuesday promising to work on making it harder for brokers to clear their…
AdvisorHub (September 16, 2021) - Former Merrill Lynch superstar Phil Scott, who last year took his $18 million-producing team in the Seattle suburbs to First Republic, struck out in an attempt to…
Financial Advisor (August 4, 2021) - The Financial Industry Regulatory Authority’s rule to require risky broker-dealers to set aside funds in reserve to pay arbitration awards and other regulatory…