Mark Lazar in suburban Salt Lake City moves to firm's employee unit.
The 29 deals in the third quarter compare with 45 and 40 deals in the first and second quarters, respectively.
The hedge fund paid a more than $1 million settlement to a woman who had a relationship with the top exec, according to Wall Street Journal report.
Next generation of financial advisors needs and deserves more attention and training.
The House bill seeks to limit the 25% rate to manufacturers, but will still creates opportunities for strategic tax management.
Regulator was looking into email use and unsuitable trading.
The independent broker-dealer is increasing reimbursement fees for advisers using its strategic asset management platform, or SAM.
California-based Elite Financial Network jumps to Securities America
A Heritage Foundation event was the latest in a flurry of high-level talks about the embattled SRO
Thrivent Financial for Lutherans argues the regulation's class-action provision violates its agreement with clients.
Government website offers tips to protect personal data, but gaps may remain.
Proposal would remove recharacterization option from advisers' toolkit.
Provisions in the tax bill will affect advisers and their clients alike.
The new SEC chairman is confident he can up come with a rule better than that of the Department of Labor — one that satisfies brokers, investment advisers and investor advocates alike.
While pre-tax 401(k) contribution limits are off the table (for now), the Republican tax bill nonetheless makes changes to retirement savings plans.
Compliance teams must rigorously vet the records of new advisers in order to limit the risks that come with consolidation-driven recruits.
Finra censured firm for selling clients more expensive share classes.
Arbitrators rule that Morgan Stanley violated trade secrets by "maliciously and willfully" appropriating a Schwab client list.
CEO Abigail Johnson has promised to root out the mistreatment of women
Masood Husain Azad failed to provide information about outside trades.
