According to a source, BofA boss Brian Moynihan vetoed John Thiel's plan to cut the Merrill grid by 2 percentage points.
Finra is once again looking to change some of its membership rules. The first go at making some revisions -- floated back in 2010 -- was not exactly cheered by reps.
Improved financial markets and retention pay cited as reasons for keeping brokers at wirehouses
New office in Melbourne, Fla. is the firm's 28th location
Massachusetts Secretary of the Commonwealth William Galvin urges SEC to consider banning the use of such agreements by registered investment advisers
Only in a courtroom will S&P's actions in rating mortgage-backed securities in the lead-up to the 2008 financial crisis be fully disclosed.
After Q4 hiatus, firm adds Philly area team managing $650M in assets.
Before they can expect to get a reasonable number of referrals, advisers need to ask some tough questions about themselves
As Nemo approaches, Bruce Kelly reports that a dark patch also appears to be gathering over B-D owner -- and media darling -- Anastasios 'Tommy' Belesis.
It's Inauguration Day for President Barack Obama. In his second term, expect more Terminator than conciliator.
BlackBerry finally unveiled the latest -- and long-anticipated -- iteration of its once-iconic smart phone. Judging by the reaction of investors and analysts, Apple has nothing to worry about.
After much speculation, the SEC today announced that its top cop will be stepping down in about two weeks.
Aladdin Capital agrees to settle charges that it misled retirement plans about CDOs
Recent research has revealed some compelling reasons for advisers to get clients involved in the process of opening accounts.
Expanded options are contained in the American Tax Relief Law, which was signed by President Barack Obama on Jan. 2.
The former chief information officer of Online at Dell had never worked in the brokerage industry before.
Commenters had warned against eliminating it without setting a new standard
