Firm will also pay a $750,000 fine to Finra for failing to supervise broker who sold tribe non-traded REITs and BDCs.
The broker allegedly used the firm's parking garage stamp to validate parking garage tickets worth $731.
Combination of investment banks will add to presence in small-cap market.
Straight-through trade processing now possible, says portfolio accounting service provider.
In a roll-back of post-Madoff change, requests will go through acting division director, say sources.
Count is up 4% over 2015; percentage of millionaires is flat and wealth more concentrated
State's Department of Business Oversight examined only 6.2% of state-registered investment advisers and 0.8% of broker-dealers in 2015-16.
RIA Finhabits launches mobile platform in English and Spanish.
New products intended to enhance client engagement, account automation
Wealth management platform now will offer adviser-client collaboration tool
