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Lincoln deal caps year of change at Osaic
But what will the ultimate asking price for Osaic be as the firm moves toward an IPO?
Finra bars ex-Wells Fargo broker previously charged with fraud
Louis Goff and others had been charged with raising $2.1 million from investors in a fraud from 2019 and 2020.
Broker-dealer index stays on pace with S&P 500 this year
'The broker-dealers are the toll collectors of trading volume.'
JPMorgan senior leader changes likely in search for Dimon heir
With the clock ticking on the CEO's extended tenure, who might be his successor?
Citi shuts once-envied muni business
Wall Street firm says the unit is no longer viable.
Osaic nabs Lincoln Financial Advisors in latest purchase
The 1,450 financial advisors involved in the transaction oversee approximately $108 billion in assets.
B. Riley faces investors after deals, profits, stock go sour
Its shares have plunged by more than half since mid-July, driven by the falling value of its investment holdings and weak M&A markets that led to a $75.8M quarterly loss.
Tax-focused advisor says ‘most’ broker-dealers ‘don’t understand’ his business
$100M California-based team switches to Avantax from Crown Capital Securities.
Goldman now expects faster and deeper Fed rate cuts
Economists believe core inflation will return to target by end of 2024.
Arkadios adds two firms from Triad
Atlanta-based Peachtree Wealth Advisors and Arizona-based RBG Capital have combined assets totaling more than $600 million.
Citi offers to pay partial bonuses to encourage departures
The bank's offers to a limited number of staff are part of the Wall Street giant's continued restructuring efforts.
Atria Wealth attracts $350M firm from Osaic’s Securities America
New affiliate offers employers retirement plans and investments in multiple states.
More Wells Fargo execs follow Kowach to startup
Launched over the summer, &Partners is replete with executives from Wells Fargo Advisors.
Goldman revamps private credit leadership
The firm is focusing more resources on the sector as it seeks to double the size of its business.
Will rising interest rates spark SEC crackdown?
Some broker-dealers are 'in a bit of a pickle' due to how they invested client cash, industry executive says.
Finra tried to ban firm for 60,000% fee hike. It hasn’t been easy
Alpine Securities' appeal of Finra's ban could threaten a web of self-regulatory organizations that oversee broad swaths of the U.S. economy.
‘To stand out, I needed to innovate’
Katz moved beyond cold calls to cultivate relationships with influential figures like sports agents and estate attorneys, thus broadening his network significantly.
LPL lands advisor managing $165M at Cetera
New Jersey-based Frank Cangelosi will align with Gladstone Wealth Partners.
Online brokers misstep in securities lending: Finra
'Who were the accountants? Lending securities can be lucrative,' a compliance executive says.
Industry veteran who shaped Raymond James over five decades to retire from board
But even at 81 there’s more to come from Tom James.
