Broker-Dealers

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Former Citi, Wells Fargo Rep Faces Criminal Charges For Alleged Movie Fraud

by FA Staff

Helen Caldwell of Chicago swindled three clients out of $1.5 million, prosecutors said.

JPMorgan Just Made More Annual Profit Than Any U.S. Bank Ever

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The bank made $49.6 billion for the year, up 32% from 2022.

Morgan Stanley To Pay Under $300 Million To Settle Trading Probe

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The probe partly looked at whether employees shared or misused information about impending transactions.

Goldman Traders Ride 'Rallying Cry' To Dethrone Morgan Stanley

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Goldman's equity shop is now poised to post its biggest lead over Morgan Stanley in years.

Hightower Makes Strategic Investment In $3.3B AUM RIA Firm In N.Y.

by FA Staff

Capital Management Group of New York was founded in 1992 by Thomas Mingone.

Finra Examiners Detail Reg BI Failures In New Report

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The agency's exams also brought to light issues with cryptocurrency.

Cambridge Launches $1.1B AUA Independent RIA Platform BridgePort

by FA Staff

Advisors can transfer majority or minority ownership stakes in their businesses to the new firm.

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.

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