Citadel Securities to Pay $1M Over CAT Reporting Failures
By Melanie WaddellCitadel Securities fell short on reporting data for tens of billions of order events, FINRA says.
October 15, 2024
Ameriprise Says LPL Urged Advisor to Improperly Lure ClientsLPL's "regular pattern and practice is to encourage recruits to violate their contractual agreements," Ameriprise alleges.
October 15, 2024
Commonwealth Rolls Out Tax Planning, Efficiency Tools for AdvisorsWayne Bloom says he likes to think of Commonwealth as a time merchant for advisors.
October 15, 2024
Stone Point Returns as Kestra's Top Private Equity BackerStone Point first invested in Kestra in 2016 and later sold its minority share to Oak Hill Capital.
October 15, 2024
Jeremy Siegel Sees More Stock Gains AheadFed rate cuts should support more market gains but likely not a runaway rally, the WisdomTree economist says.
October 15, 2024
Carson Group Adds $1B Group in MidwestThe RIA is bringing on Sweet Financial, a 12-person team based in Fairmont, Minnesota.
October 15, 2024
Citi Posts Gains Across Board as Trading Beats ExpectationsCitigroup Inc.'s traders turned in their best third-quarter performance in at least a decade as they benefited from the surge in volatility across asset…
October 15, 2024
Schwab to Launch Alts Platform for HNW Retail ClientsThe platform, using iCapital, will offer alternatives funds for qualified investors with at least $5 million.