Stifel this fall lost a stunning $14.2 million arbitration claim linked to Chuck Roberts.
The companies admitted the SEC's findings and made remedial efforts to fix their "blue sheet" transaction reporting, the regulator said.
Finra orders on Friday noted that the companies proactively corrected errors following exams in 2020 that found customers were not properly given rights of reinstatement for mutual fund share purchases.
Firm names wealth management successor and a new hire.
Investors remain optimistic about stock market trajectory despite current fears.
The targeted shooting and killing of UnitedHealthcare's CEO sparked an outcry over health insurance practices. Shareholder advocates have pressed companies on ESG issues before, but not on claim denials.
The latest figures from DeVoe & Company show consolidation hitting fever pitch, including the most-active ever quarter for deals.
The independent broker-dealer's latest tie-ups in the Northeast extend its reach in Philadelphia, New Hampshire, and Maine.
From tech to a focus on client experience, here’s what new RIAs should be drilling down on.
The private equity-backed RIA aggregator has expanded its footprint with two new acquisitions in Minnesota and Virginia.
The strategic acquisition, expected to close early next year, will also see 25-year fintech veteran Reed Colley take on a top leadership role.
“I would hang my hat on this if I were Edward Jones,” said one industry executive.
The hybrid RIA is going all in on the retirement plan advisory space with its latest veteran hire.
Divorce during the holidays is tough enough. Financial advisors can help their clients make it easier.
The credential-granting body for financial professionals is proposing a raft of adjustments, including more CE hours and new rules to count work experience.
Two of its Connecticut-headquartered partner firms are planning to join forces in a transaction set to close in the first quarter of 2025.
The firm has more than 200 advisors under its Kingwood Wealth Advisors brand.
Former Arete Wealth business development exec joins ahead of milestone year.
Stocks, bonds tumbled as rate cut expectations weakened.
DeVoe & Company survey suggests RIAs will have their work cut out for them around talent management. What should RIAs be focused on?
