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Broker-Dealers

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RBC Sees Limited Opportunities For U.S. Deals In Short Term

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Royal Bank of Canada wants to add to U.S. business with wealth-management and banking deals.

DOL Releases Latest Independent Contractor Rule

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FSI said the more expansive rule threatens independent advisors' contractor status.

3 Firms With $2.1B AUM Combine To Found Diversify Wealth Management

by FA Staff

Its first three acquisitions each have unique specialties to bring to Diversify Wealth Management.

Philly Area Father-Son Team Wins $500K From Woodbury For Defamation

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The firm had said the two failed to get authorization for Allianz annuities, but a Finra panel disagreed.

JPMorgan Seeks Restraining Order Against Former Rep

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The firm alleged a former broker violated non-solicitation agreements by recruiting 39 households worth $19 million.

Schwab Urges DOL To Withdraw 'Ill-Fated' Fiduciary Rule

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The proposal is flawed and destined to be struck down by the courts, the company's general counsel argued.

Broker Awarded $950K After Claiming Co-Workers 'Stole' His Business During Mental Illness

by FA Staff

Matt Smith alleged his business associates undertook a “hostile takeover” as he battled bipolar disorder.

N.Y. Broker-Dealer Tries To Shut Down Utah Couple's Finra Complaint

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Two investors say they lost $2 million in cannabis investments, but PKS asserts it wasn't involved.

Finra Moves To Tighten Rules On Loans Between Brokers And Clients

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The rules would increase prohibitions on broker-dealers loaning money to and from clients.

LPL Lures PNC Advisor In Indiana

by FA Staff

Zach Fiandt serviced some $260 million in assets and focused on high-net-worth clientele.

Industry Groups Predict DOL Rule Will Fail Again In Court

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The agency is merely repackaging its vacated 2016 fiduciary rule, the Financial Services Institute argued.

BofA Sued Over Alleged Conflicts In Washington Commanders Investment

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Billionaire investor Robert Rothman claims the bank improperly represented him and the team at the same time.

CoastalOne Rebrands As Realta

by FA Staff

The change aids the firm's growth plans for itself and its independent advisors, Realta said.

Advisors Should Mark These Dates On Their 2024 Calendar

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Here are some key deadlines that financial professionals should be aware of.

Wall Street's Seismic Shift Propels Dallas Ahead of Chicago, L.A.

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Bank build-outs are helping solidify the city's status as the financial mecca of the South.

Former Morgan Stanley Broker Barred For Alleged Client Asset Theft

by FA Staff

Gary Chang of California stole more than $58,000 from four customers, the SEC said.

It Was A Tough Year For Almost Every Bank Not Named JPMorgan

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This year was marred by the biggest U.S. bank failures since the 2008 financial crisis.

Maryland Advisor Pleads Guilty To Leaving Elderly Client Destitute In $1M Fraud

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Eddy Blizzard drained his client's retirement savings over a six-year period.

Schwab Self-Directed 401(k) Account Balances Fell 9.2% In Q3

by FA Staff

But the average ending balance of $287,769 represents a 5.3% year-over-year increase.

Citi Suit Raises #MeToo Allegations At Wall Street's Top Levels

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The lawsuit challenges the bank's efforts to present a picture of greater gender equality.

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