Displaying 174 results
Experience pays dividends in wealth management deals
Research shows repeat deal-makers have had more success in a surging M&A market
Brokerage groups spend more on lobbying than adviser organizations
The top issues that groups targeted for Capitol Hill influence were the SECURE Act and a financial transactions tax
Ohio National settles with Kestra over VA commissions
The insurer faces one less lawsuit over its termination of trail compensation
Finra proposal to clamp down on firms, reps with unpaid arb awards moves forward
Rule would restrict movement of brokers or firms’ assets if arbitration claims are pending
Trade associations plan to step up political spending in campaign year
The Financial Services Institute and an insurance group are among those varying from their pace in previous cycles
Financial advisers continued to bolt from Wall Street in 2019
Independent broker-dealers and RIAs scored sizable net gains of advisers at Wall Street's expense
As Voya Financial sells off insurance groups, attention turns to its broker-dealer
Voya Financial Advisors faces questions about its future as parent restructures
Former adviser blames paperwork in fraud trial
Anthony Diaz faces fraud charges stemming from sales of REITs and annuities
FSI denounces ‘regulation by enforcement’ despite strong rebuke from SEC’s Jackson
Group says Reg BI enforcement probably won’t draw same criticism as share-class crackdown
Carson expungement illustrates problem with system, lawyers say
A Finra arbitrator ruled that a customer dispute from 2004 should be removed from his record
Raymond James’ CEO takes a victory lap
Paul Reilly touts the new highs the firm hit in client assets and number of advisers
Former baseball star Angel Pagan wins $1.7 million arbitration award against Merrill Lynch
Case revolved around investments in Puerto Rican bonds made by the former MLB star
Small brokers push bill to ease audit rules despite challenging political environment
Legislation impacting financial advisers tries to get traction amid impeachment, election
Duo managing $194 million moves from UBS to Raymond James
James Ducharme, Michael Rowland join firm’s employee unit in Melbourne, Florida
UBS hires $10.8 billion team as net new client money in U.S. slides
The Swiss bank snags Wickham Cash Partners in Charlotte; reports $9 billion decline in net new money in Americas in Q4
Finra names Jessica Hopper head of enforcement
The longtime Finra official served as acting enforcement chief since September
Commonwealth adviser arrested in child prostitution sting operation
Nathan Duane Oeming allegedly responded to an ad posted by a detective posing as a 15-year-old girl
Finra fines Prudential $1M over sloppy retirement-plan information
Regulator says flawed communications left plan participants in dark about investment costs
SEC Commissioner leaving next month
Robert Jackson Jr. to return to teaching at NYU Law School
Morgan Stanley eyes 1 million wealth management clients from stock plans
Technology push at Morgan Stanley comes into focus after Solium Capital acquisition
