Finra says the firm failed to report certain trades in TRACE-eligible securities.
Suzanne van Staveren will work on Edelman Financial Engines’ long-term growth strategy and financial objectives.
Andrew Randak, Nicole Boutmy de Katzmann and Kristian Sedeño, formerly of Fieldpoint Private Advisors, have formed The Mile Creek Global Group.
Michael Gavett is moving to Linsco, the employee unit of LPL, in Dallas.
Kabir Sethi will head firm’s technology; Matt Enyedi will lead national sales and marketing.
The four advisers will operate as Resolute Private Wealth in Forest, Virginia.
Bruce and Jeff talk with Tom Bradley, managing director at Charles Schwab, about the Schwab-TD Ameritrade merger. They break down the multiyear process of the acquisition and get an update on its current status.
Ramy Fahim is suspected of killing a co-worker at Pence Wealth Management and that man's roommate earlier this week.
Virtually all advisers have risk-management strategies in place, says Nationwide.
Shawn Parker of Schaumburg, Illinois, falsified $25,000 in expenses, regulator says.
