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Repeat flubs at Stifel over complex products: Finra
Stifel broker-dealers agree to fines and restitution of almost $3 million as a result of shortcomings in supervision and compliance related to sales of non-traditional exchange-traded products.
Alex David jumps to Raymond James from Stifel
'This appears to be more of a reflection on Stifel,' one industry recruiter says.
AAAA poised to amplify industry influence
The Association of African American Financial Advisors, the largest advocacy group for Blacks in the industry, intends to step up business-to-business alliances.
