Brokerage agrees to pay nearly $3M fine to settle Finra enforcement action; 'improper coding' blamed
Recent exits may boil down to one word: Technology.
Bank of America sharpens Merrill Edge by adding 10 actively managed portfolios
Which brokerage has the top stock pickers?
50% drop in broker comp makes the case for going independent
Morgan Stanley boss preparing for possible major downgrade by Moody's; hanging out there in the wind
Say clients like having assets at a AAA rated bank
Stock regains some ground, but still trading at under $13; ratings cut looms
Roll out of new technology problem sees plenty of glitches; large undertaking
UBS Wealth Management records another solid quarter under ex-Merrill big — but compensation's a hot topic right now for the bank's shareholders
Agree to return customer info in protocol flap; decision now rests with Finra panel
Moving from Wells Fargo's Financial Services Group to indie B-D
Wells Fargo B-D aims to reward reps who bring in new business; no longer 'recruit or die'
Fourth big signing for firm this year; 'a great mousetrap'
In a move that could have a serious impact on the advice business, Finra is considering giving private vendors access to the regulator's data on licensing and disciplinary actions.
