FINRA Orders Stifel to Pay $500K in Customer Dispute
By Jeff BermanClient claimed firm's rep "mishandled" her account via "unsuitable, unauthorized, and excessive trading."
February 14, 2020
T-Rowe Price Introduces New Target Date Retirement Options: Portfolio ProductsAlso, Bloomberg and MSCI expand ESG fixed income offerings.
February 14, 2020
Advisor Group-Ladenburg Merger Is Final. What Will Happen to the BDs?The new firm will have over 11,000 advisors and nine BDs. Is consolidation in the offing?
February 13, 2020
RIA Captrust Adds $654M North Carolina TeamCaptrust's latest acquisition is a 10-person team, including five advisors.
February 13, 2020
Orion, MaxMyInterest Give Advisors New Client Cash SolutionThe new integration with Orion Advisor Tech helps advisors find better ways to deliver higher yield on cash.
February 13, 2020
SEC Issues Updated FAQs on Reg BI, Form CRSThe FAQs address accredited investors, dual registrants and affiliate relationships.
February 12, 2020
Banks, Financial Services Must Do Better on Diversity: House ReportAlthough the business has made strides in diversity hiring, it's not enough, says the House Financial Services Committee.
February 12, 2020
Ameriprise Adds Merrill Team With 3 RepsThe Barbaro, DeMartino & Tucker Group joins the firm in New Jersey with about $194 million in assets.