Broker-Dealers

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Industry Groups Target DOL's Fiduciary Rule In Second Lawsuit

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The latest legal challenge was launched by nine annuity and insurance trade groups.

Senate Bill Would Force SEC To Weigh Economic Impact On Small Advisors

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The House already approved the legislation, which would also lead to more advisors being designated as "small."

Raymond James Adds $435M Advisor Team From Merrill

by FA Staff

The Zaccardi Group operates in Burlington, Mass.

Finra To B-Ds: Don't Blame Us For Your Back-To-Office Mandates

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The regulator says not to believe firms that blame Finra for calling remote workers to the office.

Charles Schwab To Roll Out Alternatives Platform For Qualified Investors

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The new platform would be available for qualified, self-directed investors with more than $5 million in assets.

Gorman To Step Down As Morgan Stanley Chairman At End Of Year

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James Gorman, 65, disclosed his plan Thursday at the company's annual shareholder meeting.

Strategic Wealth Sues Advisor In Colo. For Alleged Contract Breach

by FA Staff

The firm claims Jason H. Taylor, who had managed $20 million, breached his contract when he left.

Congressional Resolutions Could Blow Up DOL Fiduciary Rule

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A bipartisan group of lawmakers is trying to overturn new requirements put on advisors.

Finra Rules Ex-RJ Advisor Owes $2.6M After Selling Firm, Poaching Clients Back

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Nicole Sennett was accused of poaching clients after a business sale turned acrimonious.

$4.5B Advisor Network Exits Lincoln Financial For LPL

by FA Staff

Pilot Financial, based in Greensboro, N.C., has 105 advisors nationwide.

SEC Fines Calif. Advisor Almost $1.1M For Not Disclosing Annuities' Commissions

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The agency said Raymond L. Lent and his firm didn't disclose upfront sales commissions on annuities of 6.8% on average.

Raymond James Adds $228M Texas Advisor

by FA Staff

The team at Ramirez Family Wealth of Raymond James was previously with J.P. Morgan Securities.

Ex-Merrill Lynch Duo With $705M Joins LPL's Wealth Management Platform

by FA Staff

Auctus Legacy Private Wealth Management has become an LPL affiliate in Oklahoma City.

Election Carries Big Consequences For Advisors, Schwab Political Analyst Says

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Lobbyist Michael Townsend sees a "very, very close" race that could impact everything from taxes to advisor regulations.

Jamie Dimon Says Succession At JPMorgan Is 'Well On The Way'

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The 68-year-old CEO moved some of his top lieutenants into new senior roles earlier this year.

TD Sues 2 Advisors, Claims They Stole Clients After Move To RJF

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TD Bank claims they violated their contract by recruiting clients with $22 million in assets.

Raymond James Recruits $900M Wells Fargo Team In Fla.

by FA Staff

The Lelekis, Ellis, Kilczewski Private Wealth Management Group has joined the firm's employee channel.

Jon Beatty To Succeed Bernie Clark At Helm Of Schwab Advisor Services

by FA Staff

Tom Bradley was named chief client officer for Schwab's advisor services business.

Black Advisor Group Blasts DOL Independent Contractor Rule

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The Association of African American Financial Advisors said the rule could cost Black advisors clients and jobs.

Habitual DOL Rule Violators Face 10-Year Rollover Ban, Attorneys Say

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Companies and advisors who breach the fiduciary rules also face excise taxes and possible class-action suits.

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