Broker Dealers
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Fidelity's National Financial Services to Pay $2.5M to Settle SEC Charges
By Jeff BermanThe firm and FuelCell Energy failed to deliver final prospectuses to stock investors, the regulator said.
September 04, 2020
$1.4B Merrill Team Jumps to RBC WealthThe firm says it has recruited wirehouse and other reps with about $20 billion in assets so far this year.
September 04, 2020
JPMorgan Nabs Vanguard Exec, Plans to Hire Hundreds of Remote AdvisorsThe bank's push into digital advice comes about nine months after it restructured its wealth management operations.
September 04, 2020
Schwab, Vanguard, Other Platform Glitches Unrelated to Apple, Tesla Splits, Firms SaySeveral major trading platforms experienced outages and other problems on the day of the stock splits.
September 03, 2020
DOL to Move Ahead on Fiduciary Plan Despite CriticismLabor says it won't hold a second hearing or reopen comments; critics say it should wait and see how Reg BI plays out.
September 03, 2020
Envestnet | MoneyGuide Teams With FIDx on Annuities: Tech RoundupAlso, Lincoln Investments selected Riskalyze for tech.
September 02, 2020
DOL Fiduciary Rule Hearing Is Too Rushed, Lawmakers SaySen. Patty Murray and Rep. Bobby Scott urged the department to reopen the comment period after the hearing.
September 02, 2020
SEC Charges Ex-LPL Rep With Stealing $300K From Retired ClientThe rep defrauded a 73-year-old client with whom he shared a bank account, the SEC says.