Barclays

The largest ETFs that track the two asset classes posted about $3.1 billion of withdrawals last week.

The firm’s former COO is accused of destroying a copy of the culture report.

To get in on hot IPOs, a client delivered cash payments to the broker at bars and restaurants, the regulator alleges.

Ziegler is the latest in a line of purchases by Stifel and other regional broker-dealers.

Managers in the space have been raising cash at their fastest pace since 2013.

Jeffrey Sherman’s bond fund returned 14% on average over the last three years, besting 99% of all large-cap value funds tracked by Bloomberg.

The agency's staff has recommended filing an enforcement action against two Barclays bankers, according to records filed with FINRA.

The former Carmignac Gestion executive, who previously traded for Steve Cohen, says the tool will help run money for clients of his own firm, Q2Q Capital.

The firm has collected more than $1.1 million in arbitration cases so far this year.

Investors are fleeing debt-riddled companies amid the anticipation of rising rates and growing corporate leverage.

The outflows have rekindled a popular concern that the funds could portend the start of a liquidity crunch.

The regulator accused the firm of collecting excess mutual fund fees by steering clients into more expensive share classes.

The firm won a rejection of her $1 million claim, promissory note damages, legal fees and interest.

The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.

A federal judge ruled that the ex-Barclays advisor had been unfairly forced into FINRA arbitration, where a panel had ruled against him.

"I lose years of my life. They can settle, write a check and move on," says an adviser whose book of business dropped by $40 million after he alleges he was wrongfully terminated.

54% of mutual funds underperformed their benchmarks since the election, researchers find.

Here's what to watch for just before the counting of ballots begins.

How Ronald Kruszewski is working to make the regional BD into an industry contender.

The firm is buying City Financial, where brokers oversaw approximately $4 billion, according to the company.