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D.A. Davidson
In addition to his position at D.A. Davidson, Mark is also an Industry Advisory Committee Member representing clearing firms on the US Advisory Operating Committee of the Consolidated Audit Trail.
Podcast
A necessary part of any financial services firm’s business is handling disputes that arise. Whether it’s a complaint from a customer, litiga...
Blog
The New FINRA Inspections Pilot Program The impact of technology on the financial sector has been transformative, revolutionizing the way organization...
Leverage Registration Renewal For Oversight Of Representatives and Branch Offices As the year ends, broker-dealers and investment advisors should begi...