Displaying 174 results
B-Ds may be more likely to recommend complex products than RIAs
The NASAA report analyzed the results of a benchmarking exam taken prior to implementation of Reg BI
SSN back office faces layoffs after Advisor Group merger
Half of the employees will stay on, but some portion will likely be let go, according to sources
Ex-Voya broker allegedly flees country after facing dozens of complaints
As his clients sue, former rep James Flynn is reportedly in the Caribbean
Texas revokes license of rep for Woodbridge Wealth sales
Kim Diane Butler breached fiduciary duty by receiving $300,000 in commissions on the sales
When will Wall Street get back to the office?
While almost every bank says workers are under no pressure to return, employees are itching to learn what comes next
GPB problems come home to roost for advisers
Investors take aim at an adviser, who sold GPB products, in numerous Finra arbitration claims
Team managing $275 million switches to Cetera from SSN
Nestlehut Financial Services is based in Frankfort, Illinois
Advisor Group goes virtual with annual broker event
Entertainment will play big part in the firm’s ConnectEd conference
Broker recruiting moves plunge amid pandemic
But one arm of Wells Fargo Advisors has been a popular destination for advisers in the first half of the year
Former LPL rep fined $5,000 over false signatures
John McConkie signed documents for his supervisor
Morgan Stanley team managing $280 million moves to Baird
Four-person Fischetti Barry group is based in a suburb of Pittsburgh
Wendy Lanton, Jim Nagengast elected Finra governors
Lanton represents small firms; Nagengast reelected to represent large firms
SEC penalizes two RIAs $1 million over order flow payments
New Jersey-based WBI Investments and Millington Securities allegedly made misleading statements
LPL to pay top dollar for employee reps and advisers
The independent broker-dealer's new employee offer has a payout for the million dollar adviser of 60%
Finra eases rules on expensing meals amid pandemic
Firms can classify meals as entertainment costs even if the get-together is happening online
Number of B-Ds, reps registered with Finra falls again
Firms registered with the broker-dealer industry regulator saw their revenues and profits rise last year
M&T Bank will use LPL for retail securities business
The New York bank’s $20 billion in AUM will make it the largest on LPL's platform
Female trio managing $280 million at UBS moves to Alex. Brown
The veteran advisers, natives of Venezuela, are based in Miami
NASAA study on aging advisers suggests firms consider requiring succession plans
Regulators say older advisory workforce may have issues related to cognitive impairment
Former eMoney exec tapped to lead Kestra B-D unit
Stephen Langlois will serve as president while James Poer remains CEO of the parent company
