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The firm is boosting its matching contributions to retirement accounts for U.S. workers and eliminating the one-year waiting period for contributions for new joiners.
The CEO issued a statement Wednesday saying he regretted his quip that JPMorgan is likely to outlast China's Communist Party. The bank has ambitions to expand further in China.
Advisor Group last week lost a star financial adviser, Kevin Myeroff. That's always a delicate time for a broker-dealer network.
As part of the effort, the bank tapped Puneet Singhvi to be its new head of digital assets inside the institutional clients group.
The terms of Nexo's deal for a stake in Texture Capital Holdings were not disclosed.
Petaluma-based Investment Architects and its affiliated RIA, Resource Investment Architects, manage $1.25 billion.
Thomas Brenner, former CEO of First American Securities of Orrville, Ohio, is facing seven fraud charges linked to sales of private placements.
Since 2020, LPL has signed three major agreements to provide retail brokerage and advisory services to banks and credit unions.
Gus Fingado and Matthew Walter are joining the firm's employee unit in Manalapan, New Jersey.
The bank, citing President Joe Biden's directive to federal contractors, is asking staffers to submit proof of vaccination by Dec. 8.
Raymond James was having to pay up to recruit advisers. Now, it's feeling the same pinch for employees.
The firm entered the bank broker business four years ago when it bought Investment Professionals Inc.
The former chief operating officer of Triad Advisors had been the Atlanta firm’s COO.
The overhauled compensation structure is tied to revenue production and features a length-of-service award for high performers with additional revenue, which will be paid in restricted stock units.
The rule goes 'significantly beyond' suitability, and firms should give their reps the tools they need to 'identify, disclose and mitigate conflicts prohibited under Reg BI,' Gurbir Grewal said.
Most of 21 recruits came from Truist, Wells Fargo and Merrill Lynch.
As the agency looks at whether game-like features used by the online trading platform lead to excessive trading by retail investors, Robinhood says additional regulation could be rejected by U.S. courts.
If the model rules were adopted, states would have more power to collect millions in fines.
Last year, the SEC charged the unregistered adviser at the heart of the matter with defrauding a town in Puerto Rico and misappropriating $7.1 million.
The team, including James Wendling, Steven VanDerSchaaf andClint Allman, have moved to the employee unit of Raymond James in Davenport, Iowa.