by FA Staff
The four advisors will operate as part of RJA's Las Vegas branch, the Business Exit Planning Advisors of Raymond James.
by
Paige Smith
The company said adjusted earnings per share for the third quarter were 77 cents, beating analyst forecasts.
by
Tracey Longo
A Finra arbitrator wiped complaints that led to $30 million in customer awards from the rep's record.
by
Edward Hayes
The stolen data included names, Social Security numbers and driver's license information.
by
Steve Dickson
The deal could help B. Riley bolster its balance sheet as it wrestles with a significant debt load.
by
Hannah Levitt
Despite the strong showing, CEO Jamie Dimon offered a somewhat gloomy economic outlook.
by FA Staff
The former reps were suspended for trades that led to millions in fees and losses for 13 clients, Finra said.
by FA Staff
Air Capital Wealth Management is affiliated with LPL Strategic Wealth Services.
by FA Staff
The deal brings 350 professionals and $4 billion AUM to the independent broker-dealer.
by
Paige Smith
The firm says its Active Trader Pro platform boasts faster processing speeds.
by
Jacqueline Sergeant
A Finra panel ruled that the firm failed to properly supervise one of its Miami reps.
by
Tracey Longo
Voters in this year's elections may be the ones who ultimately decide the rule's fate.
by
Tracey Longo
The company agreed to the penalty after self-reporting the Reg BI violations, the agency said.
by FA Staff
Taylor Thompson is a 22-year veteran
by
Claire Ballentine
The firm is offering users “forecast contracts” with yes or no answers on a host of political outcomes.
by
Tracey Longo
The agency needs to be more clear about how firms should comply with communications rules, Morgan Lewis attorneys say.
by FA Staff
The Noble Group, founded in 1996, comprises nine advisors and 13 support staff.
by
Guillermo Molero
Former CEO Dan Arnold often spoke of maintaining a strong company culture.
by FA Staff
Taryn Moll and Peter Henziak in Irvine, Calif., have joined the firm's employee advisor channel.
by
Karen DeMasters
The violations included failure to keep track of employees' electronic communications, Finra said.
