Financial Industry Regulatory Authority Inc.

U.S. Court Curbs FINRA’s Disciplinary Powers

By Melanie Waddell, AdvisorOne | October 6, 2011

A federal appeals court in Manhattan ruled Wednesday that FINRA did not have the right to take its members to court to enforce its disciplinary actions.
Clearbrook Wins Away IPC Business From Troubled Jesup & Lamont

By Joyce Hanson, AdvisorOne | August 11, 2010

Independent Portfolio Consultants (IPC) has transferred 1,400 client accounts worth over $1 billion away from troubled broker-dealer Jesup & Lamont Securities Corp. to the broker-dealer subsidiary of Clearbrook Financial.

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Business Evaluator

The Business Evaluator tool is designed to educate advisors on career options. Get recommendations unique to your situation as the Business Evaluator intuitively guides you through exploring a change.