The broker-dealer had concerns about oversight of client accounts while using the application
The data snafu hit just days after announcing major staff layoffs
As his clients sue, former rep James Flynn is reportedly in the Caribbean
Roughly 2,000 NFL players need the extra layer of financial protection the union's adviser program provides
The layoffs focus on support staff and will not include financial advisers among the cuts
The pandemic creates cracks in how firms oversee advisers’ communications with clients
Capital Financial Services is shutting down, leaving clients on the hook
The firm joins Merrill Lynch in revamping policies around client perks
The former SEC examiner was charged with obstruction of justice, a felony, last year
Investors take aim at an adviser, who sold GPB products, in numerous Finra arbitration claims
