Tag: FINRA
MBD Solutions Hires Julie Paquette as Director of Business Development
MBD Solutions, a third party managing broker-dealer, has hired Julie Paquette as director of business development to lead the company’s relationship management and business...
Preferred Capital Securities Expands West Coast Sales Team
Preferred Capital Securities LLC, the dealer manager for Preferred Apartment Communities Inc. (NYSE: APTS), has hired Rian Kearny as regional vice president for Southern...
The DI Wire Q&A with ADISA President Keith Lampi
The DI Wire had a chance to speak with ADISA president Keith Lampi ahead of ADISA’s 2018 Spring Conference held next week in Orlando,...
Inland Securities Appoints Rick Martens as Senior Vice President – External...
Inland Securities Corporation has hired J. Rick Martens as senior vice president – external wholesaler where he will focus on building relationships with current...
Senator Warren Introduces Bill to Recoup Unpaid FINRA Arbitration Awards
Senator Elizabeth Warren (D-MA) introduced legislation that would require the Financial Industry Regulatory Authority to use its authority to compensate investors for unpaid arbitration...
Audrey Kamin Joins Phoenix American Hospitality as National Accounts Manager
Phoenix American Hospitality, an opportunistic hotel fund manager, has hired Audrey Kamin to serve as its national accounts manager.
Kamin has more than 20 years...
Passco Promotes Two Senior Vice Presidents of Sales
Passco Companies LLC, a sponsor of 1031 Delaware statutory trusts and other alternative investments, has promoted Adriana Olsen and Andy Wang to senior vice...
Newbridge Securities Under Fire for ARC REIT Sales to Pennsylvania Police...
Lawyers representing a number of retired Philadelphia police and firefighters plan to file more complaints with Financial Industry Regulatory Authority against Boca Raton-based Newbridge...
FINRA Issues Complaint Against MetLife Rep for Controlling Elderly Client’s Finances
The Financial Industry Regulatory Authority has filed a complaint against former MetLife Securities (now MML Investors Services LLC) advisor Peter Orlando for improperly obtaining...
SEC Examination Priorities Identify Fee Disclosures for Retail Investors
The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) announced its 2018 examination priorities, which are published annually to improve compliance,...
