Tag: registered representatives
ADISA Publishes Best Practices for DST 1031 Exchanges
The Alternative and Direct Investment Securities Association has published A Guide to DST 1031 Best Practices (2022), a manual designed to highlight certain best...
FINRA Suspends and Fines Former Raymond James Broker for Accepting Monetary...
The Financial Industry Regulatory Authority has suspended and fined a Robert Edward White, a former Raymond James broker, for accepting $58,000 in monetary gifts...
FINRA: Number of Broker-Dealers and Registered Reps Decline for Second Year
The Financial Industry Regulatory Authority has published the FINRA Industry Snapshot 2018, its first annual statistical report on the brokerage firms, registered individuals and...
