Tagged: News

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FINRA Goes Quiet as Its Caseload Plunges

“I felt that examiners came in with the idea that they were going to find violations, and it was just a question of how many,” Mark Cresap, a money manager in the Philadelphia area,...

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Acera Insurance partners with Dorey & Tolgyesi

Partnership marks Acera’s fourth deal in Ontario in 2024 Calgary, AB (Jun. 15, 2024) – Acera Insurance Services Ltd. continues to expand in Ontario and is pleased to announce its partnership with Dorey &...

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12 Insights Into Boomers’ Retirement Realities

Start Slideshow At first glance, a majority of baby boomers appear content with their financial situation in retirement, according to a recent survey from IRALOGIX, a retirement industry fintech provider.  Probe a little deeper,...

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LPL Rep Suspended for Trading in Deceased Client’s Account

The Financial Industry Regulatory Authority has suspended a registered representative with LPL Financial and fined him $7,500 for unauthorized trading in the account of a deceased client. According to FINRA’s order, Ronald Gene Chronister’s...