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The outflows have rekindled a popular concern that the funds could portend the start of a liquidity crunch.
June 2 -
The regulator accused the firm of collecting excess mutual fund fees by steering clients into more expensive share classes.
May 11 -
The firm won a rejection of her $1 million claim, promissory note damages, legal fees and interest.
April 13 -
The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.
April 4 -
A federal judge ruled that the ex-Barclays advisor had been unfairly forced into FINRA arbitration, where a panel had ruled against him.
March 27 -
"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.
December 19 -
54% of mutual funds underperformed their benchmarks since the election, researchers find.
November 28 -
Here's what to watch for just before the counting of ballots begins.
November 4 -
How Ronald Kruszewski is working to make the regional BD into an industry contender.
October 31 -
The firm is buying City Financial, where brokers oversaw approximately $4 billion, according to the company.
September 14