Industry News

Broker dates client, pockets cash

Bill Singer of Forbes.com has dug up an amusing FINRA enforcement document detailing the misdeeds of a stockbroker who dated a customer and made off with cash she gave him for investment purposes.

By Staff |January 11, 2013

1 min read

Life insurance industry shake up in works

LOGiQ³ Corp. is currently working with key Canadian life insurance industry stakeholders to investigate an industry advisor screening, contracting, and monitoring model.

By Staff |January 11, 2013

2 min read

Strong performance for health care sector

Throughout the fourth quarter 2012 corporate earnings reporting session the health care sector led other sectors in the U.S. large-cap stocks, as reflected by the Russell 1000 Index, and U.S. small cap stocks, as reflected by the Russell 2000 Index, as of January 9.

By Staff |January 11, 2013

1 min read

FINRA issues voluntary form for crowdfunding portals

FINRA has issued a voluntary Interim Form for Funding Portals designed for prospective crowdfunding portals.

By Staff |January 11, 2013

2 min read