James Walesa Disclosed His Outside Business. FINRA Still Saw A Bigger Question.
FINRA’s James Walesa case shows how outside businesses, private investments, client complaints and broker-dealer supervision can collide.
Janney Wants To Prove Private Equity Does Not Have To Mean Culture Drift
Janney CEO Tony Miller says KKR ownership can support growth, advisor autonomy and employee ownership without losing culture.
Stifel Wants More Than Spring Mountain’s $1B. It Wants A Growth Playbook
Stifel hired Merrill veteran Launny Steffens as vice chairman of asset management, adding Spring Mountain assets and strategic reach.
Blue Owl Opened The BDC Exit Door Wider. The Harder Test Came Later
Blue Owl’s expanded OTIC tender offer shows why nontraded BDC liquidity, redemption caps and advisor due diligence matter.
James Walesa Was Barred. The Bigger Story Is What FINRA Could Not Examine.
FINRA barred ex-Arkadios and Triad broker James Walesa after he failed to cooperate with an investigation into private investments.