Broker-Dealers

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Goldman Sued By Hollywood Managers Over $7 Billion Private Equity Deal

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The management firm claims it was deceived by Goldman when it was seeking to sell itself in 2022.

Goldman Facing CFTC Probe Over Futures Trading Fees

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The firm agreed to pay more than $50 million to settle at least four CFTC cases last year.

Fee, Service Transparency Key To Advisor Success, Cerulli Says

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Fees can be intimidating to potential clients, the research company says.

Labor Watchdog Denounces Noncompetes, Adding Momentum For Ban

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About one in five Americans is bound by a noncompete agreement.

GOP Senate Bill Seeks To Block SEC Rules On Advisor AI Use

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Sen. Ted Cruz called the SEC's proposal a "war on technology."

Ariz. Rep Suspended, Penalized $36K Over Unsuitable Alt Sales

by FA Staff

Finra alleged that Luke Johnson steered nine clients into $2.35 million worth of unsuitable investments.

LPL's Wealth Management Chief Avoids Bitcoin-ETF Hype, For Now

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“We just want to see how they work in the markets,” said Rob Pettman, head of LPL's wealth management solutions.

Congressional Bill Would Ban Mandatory Arbitration For Advisor, Broker Clients

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Under the legislation, investors would have the right to choose between arbitration and court action.

LPL Adds 256 Net New Advisors, Beats 4Q Estimates

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The firm saw higher advisory and brokerage assets, though higher expenses crimped earnings.

$2B AUM California Firm Joins OneDigital RIA Subsidiary

by FA Staff

WealthSource Partners in San Luis Obispo, Calif., is a hybrid RIA operating across nine states.

Barred Wisconsin Broker Indicted For Alleged Wire Fraud

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Robert C. Starnes moved $72,000 in client funds to personal accounts, federal prosecutors said.

FSI Could Ramp Up Another Suit Against DOL Fiduciary Rule

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The trade group's president said its appeals to the Department of Labor have fallen on deaf ears.

Securities America Appeals $95K Finra Arbitration Penalty

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The company is arguing a Finra arbitration panel incorrectly awarded damages to one of its former brokers.

Experts Debate The Fate Of Small RIAs

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A look at the diversity of different RIA models reveals many are growth-challenged.

FSI Asks SEC To Police “Regulation By Enforcement”

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New white paper asks regulator to create policies and internal audits to eliminate unfair practices.

Kestra Firms On Opposite Coasts Merge

by FA Staff

Evoke Wealth Management and Maven Bridge Capital have formed one company that operates out of New Jersey and California.

LPL Recruits Las Vegas Duo With $320M AUM

by FA Staff

The Latus Group, founded by a former SWAT team police officer, has a retirement plan bent.

Oklahoma Advisor Joins Ameriprise With $130M

by FA Staff

Lance Lively left a 19-year career at Edward Jones to join Ameriprise's independent channel.

Raymond James Beats Estimates On Higher Assets, Flat Advisor Head Count

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The firm reported $3 billion in net revenues for the first fiscal quarter.

Ex-Morgan Stanley Broker Criminally Charged For Alleged $3.5M Fraud

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Jesus Rodriguez of El Paso, Texas, allegedly robbed the accounts of 10 clients.

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