Can a brokerage firm sue Finra?
That's a question one broker-dealer is asking the Supreme Court to consider.
The high court this month is expected to decide whether to take up a lawsuit brought against NASD by Standard Investment Chartered Inc. over the self-regulator's 2007 merger
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Five-time MLB all-star Mike Sweeney claims unsuitable investments in private placements cost him nearly $5M. Now he's suing UBS and one of its former reps to recover the cash.
Wells Fargo Advisors LLC chief executive Danny Ludeman told Dow Jones today that he expects to hire more than 1,400 brokers this year.
When the SEC proposed the broker-dealer exemption rule in 1999, few realized that it would result in a lawsuit against the commission and provoke a long and contentious debate about fiduciary duty.
It came as no surprise that the mutal fund giant split Roger Lawson's old job in two. It was no shocker that it tapped Abby Johnson to handle some of Lawson's former duties. But the hiring of BNY Mellon's Ronald O'Hanley? That was a surprise
Fidelity late today announced that Abigail Johnson will head up a newly created unit that includes Fidelity's RIA custody business.
