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By John Sullivan, AdvisorOne |
August 21, 2012
Maintaining the proper work/family balance ain’t easy, something Jon Sundt knows firsthand.
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By Melanie Waddell, AdvisorOne |
October 7, 2011
A recent report by the law firm Sutherland, Asbill & Brennan analyzes recent SEC and FINRA actions against chief compliance officers at BDs and advisory firms, highlighting examples of conduct that regulators have identified as “sanction-worthy.”