The inimitable Bill Singer is the source of our fourth news item of the day dealing with bad behaviour in the financial services industry.
The inimitable Bill Singer is the source of our fifth news item of the day dealing with bad behaviour in the financial services industry.
David Kevin Roddey, registered with Citigroup Global Markets Inc. during the period relevant to the FINRA investigation that scooped him up, was busted for using a widely circulated cheat sheet for a continuing education course. He received the exam answer key in a 2008 email.
The proportion of women CEOs in the CSA's sample remains 5%, as in the past three annual reports
BMO tops equity league tables, RBC leads debt rankings
Industry watchdogs can't "sit in an ivory tower" as they push for industry change, said Stan Magidson
Clients satisfied with advisors, despite fewer fee and suitability discussions
Help clients get the maximum benefit from these accounts
Laurentian Bank has announced further executive shifts following its leadership change earlier this month
Ontario court allows U.S. shareholders to pursue both cases
Report finds the technology is being used to segment clients and generate insights