Opening Up on Fintech
Leaders sound off on the latest technology, Equifax breach and more.
Waddell & Reed Makes Exec Shifts at Ivy Funds, BD
The firm announced the departure of Thomas Butch and new appointments to key leadership slots.
Ameriprise Adds 3 Morgan Stanley Advisors: Recruiting Roundup
The advisors come on board in Arizona, Massachusetts and Minnesota with a total of $234 million.
FINRA Slams J.P. Morgan Securities Over Background Check Failures
J.P. Morgan Securities failed to conduct “timely or adequate background checks” on 95% of non-registered associated persons.
Raymond James Wraps Up $172M Deal
The firm completes purchase of Scout Investments and Reams Asset Management and shares its October results.
13 Best & Worst Broker-Dealers: Q3 Earnings, 2017
Most, but not all, large financial firms with broker-dealer operations reported positive results for the quarter.
3 Ex-TD Ameritrade Execs Pump Cash Into TAMP Firm
Investor Bryce Engel comes on board to lead Fusion Capital, while Asiff Hirji and Wayne Ferbert will join the board.
Mortgage Lender Charged With Illegal Securities Offering: Enforcement
In other enforcement actions, a fake EDGAR filer pleads guilty to securities fraud charges.
Securities America Adds $446M All-Women RIA: Recruiting Roundup
Meanwhile, RBC draws teams from Wells Fargo and UBS, and Ameriprise brings on a group from Merrill Lynch.
Will More Firms Leave Broker Protocol?
After Morgan Stanley's exit, the recruiting scene could shift in a variety of ways, says one industry watcher.