Broker Dealers
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Former NBA Star Chuck Person Pleads Guilty in NCAA Bribery Scheme
By Chris DolmetschPerson admitted taking bribes to steer college players to a certain financial advisor after they had turned professional.
March 18, 2019
Nevada Fiduciary Rule Would Scare Off Morgan Stanley, TD AmeritradeThe two firms say they would have to stop serving brokerage customers in the state if the rule is adopted as written.
March 14, 2019
Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2019Many firms' satisfaction ratings have dropped from last year.
March 14, 2019
SEC Reg BI's Economic Analysis Too Weak, Will Face Legal Challenges: SEC's JacksonIf the analysis "is not up to snuff, you're basically giving the market a call option" to strike down the rule, Jackson said.
March 14, 2019
Raymond James, Stifel Nab $395M Wirehouse Reps: Recruiting RoundupMeanwhile, Securities America and LPL Financial share details on advisors they have added from Questar Capital and U.S. Bancorp.
March 13, 2019
Trade Groups Urge Maryland Lawmakers to Wait for SEC Reg BIFSI has "serious concerns" about the state fiduciary proposal, President and CEO Dale Brown said.
March 12, 2019
FPA Launches College Funding Advice CourseAdvisors can earn 11 CFP continuing education credits if they complete the course.
March 12, 2019
Cetera Grabs $640M Group From LPLMegent is based in Chicago and works with union members, as well as individuals and businesses, as clients.