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By Marlene Y. Satter, AdvisorOne |
February 23, 2012
Fallout from the Allen Stanford case is still growing. In the latest clash over whether shareholders should be protected from losses รก la Bernard Madoff, the National Association of Independent Broker-Dealers has sent a letter to the SEC, that says the SIPC should not have to cover those losses.
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By Marlene Y. Satter, AdvisorOne |
November 30, 2011
This week in new hires, the National Association of Independent Broker-Dealers made two additions to its board of directors; a wealth management team formerly of RBC moved over to JHS Capital Advisors; and Direxion named a new mid-south senior sales director.