Merrill Grabs 6 Reps From Morgan Stanley, Others
The recruited reps have about $710 million in assets and $5 million in production.
Citigroup to Pay $15M FINRA Fine Over Research Leaks
Analysts' violations included illicitly helping issuers prep for road shows and hosting "idea dinners" discussing stock picks with certain clients.
Fines imposed by the Financial Industry Regulatory Authority in 2014 are poised to far outpace those reported by the regulator in 2013, according to an analysis released Aug. 1 by the law firm Sutherland Asbill & Brennan.
Are Privately Owned Broker-Dealers a Dying Breed?
With the recent sales of broker-dealers, have you noticed how many BDs in the top 50 are privately owned?
A Financial Planning Christmas Carol
In his day, Lynn Hopewell was among the most prominent financial planners in the country, having served on the CFP Board and as editor of the Journal of Financial Planning.
Are Non-Traded REITs Right for Clients?
These instruments have an appeal, but their lack of transparency is troubling.
Securities America Nabs Ex-Advisor Group Recruiter
Gary Bender spent the bulk of his career at independent broker-dealers Royal Alliance and Woodbury.
SEC Fines Wedbush $2.4M in Market Access Case; FINRA Complaint on Deck
Los Angeles-based Wedbush Securities and two top officials agreed to settle a pending SEC case for market access violations.
Ex-Schwab Rep Barred for Stealing, Reselling $1M in Office Equipment
The former broker faces other charges tied to drug dealing and illegal use of a communications device in Florida, FINRA says.
FINRA, MSRB Plan to Require More Fixed-Income Pricing Disclosure
The new rules would help retail investors evaluate transaction costs, the MSRB said.