Practice

FINRA arbitrators tossed the case alleging negligence and fraudulent misrepresentation based on the wirehouse’s earlier settlement with the estate.

Brokerages cannot be held to the same standard as financial advisors, the fintech company argued.

The bank’s star recruit, a veteran advisor to famous authors, financiers and professional athletes is not happy about what she alleges is 'poaching.'

The settlement follows at least three other cases involving the bank-based brokerage’s supervision this year.

The firm’s newest business unit’s first move is to acquire portfolio personalization software from Optimal Asset Management.

Signs point to yes, say our columnists, who note that COVID-19 pandemic conditions have proved a boon to the firms and M&A activity.

Intercontinental Wealth Advisors this week announced a partnership and sponsorship with UTSA standout Rashad Wisdom. But his connection with the firm is much deeper than that.

The wirehouse’s compensation system will see small changes as brokerages confront their recruiting and retention challenges.

Technology gives investors more opportunity to diversify than ever, but experts worry about exotic strategies in IRAs.

SBA lenders remain the most common source of capital, but there is a conventional and increasingly popular option.