FINRA Fines BD Over ‘Death Puts’
The ruling comes one month after an SEC judge dismissed similar claims involving one of C.L. King’s hedge fund clients.
Recruiting and the Role of Technology: 2017 Broker-Dealers of the Year
As broker-dealers face increasing consolidation and pricing pressures, technology has emerged as a way for firms to add scale and efficiency.
Morningstar’s August Winners & Losers
Close to 50 mutual funds get new analyst ratings from the research firm, while 95 have their ratings affirmed.
Raymond James Moves Staff, Ops Out of South Florida Ahead of Irma
CEO Paul Reilly says a chartered flight is departing for Memphis; some staff will go to facilities in other parts of the U.S.
Tom Bradley’s Sad, but Unsurprising, Exit From TD Ameritrade
Industry watchers explain why the popular institutional and retail chief saw his role eliminated after a $4 billion merger with Scottrade.
Bradley Out at TD Ameritrade, Scottrade Exec In
Tom Bradley, who built TD Ameritrade's RIA business, was not picked to lead the merged firm's retail distribution.
FPA Names 3 Diversity Scholarship Winners
The awards will allow two CFPs and one Ph.D. candidate to attend the group's yearly conference in Nashville.
Consolidation and the Future of BDs: 2017 Broker-Dealers of the Year
The 2017 Broker-Dealers of the Year share their vision for the BD industry over the next five years.
RBC Wealth, Raymond James Launch Efforts to Boost Female Advisors
Videos and a publication aim to support existing women reps and add to their numbers, which are roughly 16% of the full US advisor force.
DoubleLine Hires Exec for Latin America; Ariel Elects New Board Member
Joel Peña, a former Pimco and Robeco employee, has a new role, as does Heather Tookes of Yale's School of Management.