In the Media

FinancialPlanning (April 12, 2018) -- The SEC plans to move forward with a proposal to impose new standards of care for investment advisors and broker-dealers who work with retail investors,…
InvestmentNews (April 11, 2018) -- The scheme involved soliciting the clients of another barred adviser An unregistered investment adviser has been barred by the Maryland attorney general's office…
InvestmentNews (April 5, 2018) -- Broker-dealer drops effort to stop 60 cases related to steep Merrill stock dive in 2007-08 A lawyer for dozens of former Merrill Lynch managers said they have a good…
FinancialPlanning | OWS (March 29, 2018) -- After nearly 30 years regulating Wall Street firms, Susan Axelrod is about to join one of the biggest brokerages she helped oversee: Merrill Lynch. Axelrod…