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Today's Headlines

Simpler Series 7s (and Fresh Industry Talent?) Are Almost Upon Us
They come as a quest for youth in the industry, says one former Finra EVP.
Ex-Wells Fargo FA Faces Embezzlement Charges
Advisor is facing a possible 15-year prison sentence.
Northwestern Mutual FAs Managing $600M Go Indie
The team has formed Canopy Wealth Management.
Citigroup and Its Broker-Dealer Subsidiary Settle with SEC for $10.5 Million
The companies allegedly failed to maintain accurate books and supervise traders.
Just About Anyone Can Say They’re a Financial Advisor
Financial planning trade group chiefs say investors have to fend for themselves.

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