White Cap Wealth Management affiliates with Kestra.
David Katz joins employee channel in Boca Raton, Fla.
Firm settles charges that it failed to provide less expensive share classes.
Chicago-based Ziegler to keep institutional, investment banking businesses.
Broker-dealer must pay fine and reimburse the state over 'Robin Hood' case involving disgraced broker serving more than five years in jail for defrauding clients.
Long-running case centers on reasons firm gave for broker's discharge.
Subject was Jerry Lee Travers' payments to a non-registered person.
Veteran regulator will ease out of her role through April 2018.
Deal will add $860 million to RMB's $8.4 billion in AUM.
Healthy retail business buoys corporate performance for the year.
