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Robinhood To Pay $45 Million To Settle SEC Claims

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Two Robinhood units failed to report suspicious activity and preserve communications records, the agency said.

Mariner Buys 3 Firms With A Combined $1B In AUM

by FA Staff

The firms in Ohio, Colorado and Massachusetts will take on the Mariner name when the deals close in Q1.

BlackRock Senior Executive Wiedman Is Departing After Two Decades

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Mark Wiedman oversaw the early growth of the firm's massive ETF business.

SEC Probes B. Riley Loan To Founder, Franchise Group Deals

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The firm still faces continuing fallout from the ill-fated buyout of Franchise Group and its subsequent bankruptcy.

Billionaires Swoop In To Fund Abbott's Texas School-Voucher Push

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Conservative billionaires are chipping in millions to back vouchers that can be used to pay for private schools.

Morgan Stanley Forms New Client-Management Unit Under Crawley

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Mandell Crawley is a 32-year veteran of the firm and one of its senior-most Black executives.

Focus Financial Rebrands 5 Hub Firms

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The hubs will operate as business lines under the name “Focus Partners.”

Big Banks Poised For Trading Windfalls From Election Volatility

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Falling rates have already shown signs of reversing a protracted deal slump.

CFPB Seeks To Strengthen Consumer Safeguards On Digital Payments

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The bureau is asking for public input on how to guard against fraud with such payments.

New York Governor To Target Private Equity Home Ownership

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The proposal seeks to eliminate home-buying incentives for institutional investors.

IRS Raises 401(k) Contributions, With Catch-Up Provisions As High As $11,250

by FA Staff

Those age 60 to 63 received the special catch-up limit on a post-tax Roth basis.

CAPTRUST Acquires Houston RIA With $300M In AUM

by FA Staff

The addition of Wealth Covenant Group gives CAPTRUST 12 offices in Texas.

Strong Jobs Report Backs Case For Pause In Fed Rate Cuts

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The data confirm the labor market held up last year despite high borrowing costs, lingering inflation and political uncertainty.

California Bans Insurance Cancellation In LA Fire-Affected Areas

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The state's insurance commissioner issued a one-year mandatory moratorium preventing cancellations or non-renewals.

$20K SALT Cap Benefits Mostly Higher-Income Taxpayers, Study Says

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Those earning $200,000 or more would reap "nearly all' the benefits from a doubled cap, a Tax Policy Center report says.

RJ Recruits Father-Son Team That Managed $440M At Morgan Stanley

by FA Staff

Veitch Legacy Advisors joined the Raymond James employee advisor channel in Tulsa, Okla.

Edward Jones To Pay $17M Fine To State Regulators Over Fund Fees

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The broker-dealer failed to supervise advisors who overcharged clients on certain mutual fund sales, according to NASAA.

$52 Billion Cost Would Rank L.A. Fires Among Worst U.S. Disasters

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Blazes burning around Santa Monica and Malibu are consuming some of the most pricey real estate in the nation.

Fed Finds New Reason For Confidence In Obscure Inflation Gauge

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The metric excludes a range of services where data-collectors can't directly measure prices.

Hillguard Wealth Partners with Sanctuary Wealth

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The team will operate out of Sanctuary's corporate Miami office and use its custodians.

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