Raymond James Adds $1.7M Advisor From Wells Fargo: Recruiting Roundup
By Janet LevauxJanney also nabs an advisor from Wells Fargo, as Ameriprise picks up a group of four reps from AXA Advisors.
May 02, 2018
States Fine LPL $26M Over Unregistered Securities SalesThe IBD must repurchase some unregistered, nonexempt securities sold to clients over the past 12 years, plus interest.
May 02, 2018
Fed Leaves Rates Unchanged, Says Inflation Close to TargetDespite the rise in inflation, Fed policymakers still expect gradual increases in the fed funds rate.
May 02, 2018
SEC Denies Fee Increase Requests by Stock ExchangesThe unprecedented move was in response to requests by the NYSE, Nasdaq and Cboe Global Markets to raise data fees.
May 02, 2018
Gotcha! SEC Searchable Database Flags Enforcement RecordsSALI helps identify registered and unregistered individuals who have been parties to past SEC enforcement actions and against whom federal courts have entered judgments.
May 02, 2018
5th Circuit Denies AARP, States' Request to Intervene in DOL Fiduciary RulingDrinker Biddle's Fred Reish speculated to ThinkAdvisor on Labor's next move.
May 02, 2018
Delaware Sees Hidden Value in Genworth's Annuity UnitExecutives say New York's China Oceanwide deal review is going 'reasonably well.'
May 02, 2018
Molina Could Pull Out of Florida ACA Exchange in 2019Executives said they are happy with the performance of their exchange plan operation in Texas.