LPL Profits Drop in Q2; Stock Weakens
By Janet LevauxAdvisory and brokerage assets rose 21% from a year ago, the independent broker-dealer reported.
July 26, 2024
Morgan Stanley Rep Fined for Making Unauthorized Trades, Texting ClientThe firm has agreed to pay more than $15 million in arbitration cases tied to the rep's conduct.
July 25, 2024
At Schwab-Linked DAF Provider, Grants Surge 31% in 2024The number of advisors working with the platform rose 15%, DAFgiving360 reported.
July 25, 2024
Merrill Partners With Florida School to Reach Student-Athletes EarlyThe wealth management unit will provide educational sessions and self-study materials to students at IMG Academy.
July 25, 2024
UBS Grilled Over $350M Tax Evasion CaseA senator is looking into accounts held by a former military contractor who sold $7 billion of jet fuel to the U.S.
July 25, 2024
Raymond James Reports 27% Profit Growth, Weaker Cash Sweep Results"Recruiting activity remains strong," said CEO Paul Reilly, who plans to step down next year.
July 25, 2024
Client Sues Creative Planning for Missing Roth IRA ConversionThe retiree contends Creative Planning suggested annual Roth conversions, then failed to make one.
July 25, 2024
It's Time for a Reg BI Crackdown at SEC: Ex-CommissionerThe rule is falling short of its goal and Form CRS is "bad," former SEC Commissioner Robert Jackson says.