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Miriam Rozen

New York

Senior Editor at AdvisorHub

Miriam Rozen

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Articles

  • Finra Mulls Tweaking Eligibility Requirement for Remote Brokers, Supervisors

    1 day ago | advisorhub.com | Miriam Rozen

    The Financial Industry Regulatory Authority is “really open” to changing a key sticking point for firms in its residential supervisory location rule that took effect almost one year ago, one of the regulator’s lawyers told an audience during its annual conference in Washington, D.C. Specifically, Finra would consider modifying the requirement that brokers have one year of supervisory experience to have a home office that only needs to be inspected once every three years instead of annually,...

  • Morgan Stanley Ejects Broker on Billion-Dollar Houston Team Over Real Estate Deal

    2 days ago | advisorhub.com | Miriam Rozen

    Morgan Stanley has discharged a 17-year industry veteran whose $1-billion Houston team had risen to 37 this year on Forbes’ best-in-state rankings. The wirehouse in March cited “concerns” about Erich A. Canseco’s involvement in and benefit from a “private real estate transaction between two firm clients,” according to his BrokerCheck record.

  • LPL CEO Wines, Dines, Takes ‘Rain-Soaked Bike Rides’ to Woo Commonwealth Brokers

    6 days ago | advisorhub.com | Miriam Rozen |Mason Braswell

    LPL Financial Chief Executive Officer Richard C. Steinmeier adhered on Thursday evening to a rosy forecast that his company will retain 90% of Commonwealth Financial Network’s advisor roster when it finalizes its proposed $2.7 billion purchase of the company.

  • Morgan Stanley Beats SEC Cash Sweep Review But Still Faces State Inquiry

    1 week ago | advisorhub.com | Miriam Rozen

    The Securities and Exchange Commission has ended its probe of Morgan Stanley’s cash sweep practices in advisory accounts without recommending any punitive measures, according to a quarterly report the company filed on Friday. Morgan Stanley wrote in the filing that the SEC “informed the firm” on March 11 that it concluded its investigation and “did not intend to recommend an enforcement action.” The filing did not address why the SEC had ended its case.

  • Wells Fargo Advisors Defends Firing of White Ex-Manager in Reverse Discrimination Case

    2 weeks ago | advisorhub.com | Miriam Rozen

    Wells Fargo Advisors asked a federal court on Wednesday to toss a race and age discrimination and defamation lawsuit filed by a white 63-year-old former branch and complex manager in Indiana. Wells said it terminated Timothy Poppens in 2022 not because of alleged biases but because he “violated multiple company policies” and had not recruited any advisors in three years, according to filings in federal court in Indiana.

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