Two transactions found to be contrary to the best interests of Capital Hill Fund
Raymond James manager failed to properly supervise rep who recommended margin borrowing to elderly clients
Ex Wolverton and Canaccord reps no longer registered
Proposed amendments would allow for flexible approach to supervision
Off-site supervisors mistakenly believed trading platform would ensure all options trades were appropriate for client accounts
Former DWM Securities manager failed to ensure that rep’s recommendations were suitable for clients
Relaunched branch intended to appeal to entrepreneurial growth-oriented advisors
Advisors surveyed this year say branch managers can be "good," "bad" or "ugly"
Former Raymond James manager relied on rep
Anu Jain permanently banned from acting as a supervisor for facilitating stealth advising by an unregistered person