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Broker-Dealers

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Tiny N.J. Broker Behind Booming IPOs Is Back With 380% Blockbuster

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The firm's underwriting efforts have typically focused on Asian companies.

Finra Says It's Focusing On Repeat Offenders, Considering Higher Penalties

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"Bad actors" with a history of repeat violations will be a major priority, Finra's enforcement chief said.

SEC Targets Its Own Staff's Texting, Nixes WhatsApp On Work Phones

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The move follows about $3 billion in fines imposed on financial firms over private messaging.

Longtime LPL Exec Joins TIFIN As President, Chief Revenue Officer

by FA Staff

Rob Pettman will oversee growth strategies at the Boulder, Colo.-based technology incubator.

Morgan Stanley Downplays Regulator Queries Into Wealth Management Clients

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The inquiries focus on a wealth management arm that has swelled into Morgan Stanley's biggest business.

Brokerage, Annuities Industries Make Last-Ditch Effort To Delay DOL Fiduciary Rule

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The groups, arguing the proposal has been rushed, asked government officials to get more public input.

Schwab Revenue Tops Estimates Even As Net New Assets Decline

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The Westlake, Texas-based firm reported $4.74 billion in net revenue for the three months though March.

Goldman's Wall Street Machine Revs Up Driving Surprise Profit Surge

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Goldman Sachs has sought to win back investors with a renewed focus on its core Wall Street business.

J.P. Morgan Ordered To Pay Broker $250K In Defamation Case

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A Finra panel sided with a broker who claimed the firm defamed him in a Form U5 filing.

5 RIAs Fined $200K For Violating Marketing Rules, SEC Says

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The SEC has now penalized 14 registered investment advisors in its crackdown on marketing infractions.

JPMorgan Shares Fall After NII Miss, Higher Expense Guidance

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The bank's net interest income rose 11% in the first quarter from a year earlier, falling short of analyst expectations.

Morgan Stanley Drops On Report Of U.S. Probes Into Wealth Unit

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The investigations are looking at the bank's efforts to prevent money laundering, according to published reports.

Final DOL Rule Draws Near As OMB Completes Review

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Observers say the Biden administration is moving swiftly to prevent Republicans from overturning the rule in a new Congress.

Finra Arbitrators May Be Mishandling Broker Defamation Claims, SIFMA Says

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The securities industry group wants Finra to reform how it handles broker termination disputes.

LPL Lands Ex-Ameriprise Team With $500M In Texas

by FA Staff

The independent broker-dealer has added about $1 billion from former Ameriprise advisors in recent days.

Ex-Truist Team With $435M AUM Joins LPL Independent Platform

by FA Staff

Christopher “Noah” Geoghegan and Tomohiko “Tom” Minami have launched MG Partners Private Wealth in Hickory, N.C.

Goldman's Consumer Bank Frontruns Fed With Rate Cut On Savings Account

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The bank's flagship product now offers a 4.4% annual percentage yield, down from 4.5% in March.

Goldman Investors Told To Vote No On Executive-Pay Plan

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Leaders were given lofty raises in a year when profits slumped.

Advisor Scores Restraining Order Victory Against Hightower

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Ex-Hightower advisor Lars Knudsen got a restraining order after accusing the firm of poaching his clients.

A New World Takes Shape

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The advisory business at this moment in time is in the midst of structural and generational change.

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