Mohamed Shoukr claims the firm failed to intervene in a dissolution of a team that favored a "mediocre white" financial advisor with racist views.
September 21, 2021
Shaiful Chowdhury allegedly failed to disclose as required that he was charged with possession of a controlled substance.
The arbitrator found it credible that Bradley Ross Thompson had missed a point about personal loans in the firm’s 251-page compliance manual.
The Securities and Exchange Commission’s request for comments on digital engagement practices was an opportunity for many commenters to complain.
"We really kick the tires and dig into the details," according to Sonya Morris, managing director at Harbor Capital Advisors.
The company met with the regulator to argue in favor of offering investors direct exposure to Bitcoin rather than through Bitcoin futures-based products.
Families plan to put some or all of the newly expanded tax credit toward an existing account or use the funds to open a new one, according to a recent survey.
The acquisition involves Geier Asset Management and its affiliate.