Regulator charged McGinn Smith with “misusing” investors' funds in the sale of $89 million in private notes
Colorado regulators alleged that Mr. Guyette sold private placements to a number of investors with whom he did not have a substantial prior relationship.
The financial industry watchdog says this may be just be the begining in a crackdown on private placements
Local regulators gain a little, lose a little, in their battle with the SEC over who regulates private placements
Edward Jones lost two million-dollar producers in the span of a month. That's a surprise -- given the firm's reputation for holding on to top talent.
Upstart independent broker-dealer DeWaay Financial Network LLC has landed another top independent registered rep.
Good news for the unit, which saw one-quarter of its sales force flee the firm in 2009.
In a huge blow to SagePoint Financial Inc., one of three broker-dealers that make up the AIG Advisor Group Inc., its largest branch is walking out the door following a bitter dispute over the latter's role and future at SagePoint.
In a huge blow to SagePoint Financial Inc., one of three broker-dealers that make up the AIG Advisor Group Inc., its largest group of reps and advisers is walking out the door following a bitter dispute over group's role and future at SagePoint.
