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SEC charges Commonwealth Financial with conflicts of interest in revenue-sharing agreement
Firm's agreement with Fidelity's National Financial Services allegedly forced clients into more expensive share classes.
Fidelity’s National Financial raises more questions about GPB private placements
No clear value to GPB securities puts them at odds with firm's policy over alternative investments.
Fidelity quietly abandons HybridOne program
After rolling out with great fanfare its HybridOne brand for dually registered advisers in June 2008, Fidelity Institutional Wealth Services quietly has stopped marketing its service as a distinct offering.
Fidelity unveils online international stock trading
Fidelity Investments, jumping on growing demand from investors for higher returns and diversification through international stock trading, is making it easier for independent advisers, brokers and direct retail investors to access overseas markets in U.S. dollars or local currencies.
Fidelity clearing veteran Mark Healy bolts, heads for private equity
Mark Healy, an executive vice president of Fidelity Investments' National Financial Services LLC securities clearing unit, has left the company to become an executive of a private-equity firm.
SEEKING NEW BUSINESS
When Ben Marks set up shop as an independent registered investment adviser in November, he wasn't ready to give up the commissions that helped support him for more than a quarter century at large brokerage firms.
