Portfolio

Aristotle Capital Management is adding to its client service and marketing team. Catalina Llinás joins the firm as a managing director on the team.

Hundreds of small regionals and community banks account for about half the bank channel advisors. The other half lives at one of the top 10 banks (with the top two accounting for the majority.) Here is a countdown of the 10 biggest players in the bank channel this year, based on the total number of bank advisors.

An enforcement action from the Securities & Exchange Commission is a timely reminder to advisors to disclose any financial benefits their firm may receive from the broker-dealer it recommends to clients.

Community Capital Management is expanding it’s northeastern presence with a new hire and a new office.

Montpelier, VT-based Sentinel Investments has liquidated its Sentinel Mid Cap II (SYVCX) Fund and transferred all of the fund’s assets into the Sentinel Mid Cap Fund (SNTNX), effective April 12.

FINRA fined Merrill $1.05 million and ordered the firm to pay more than $323,000 in restitution for over 12,000 trades executed on its ML BondMarket platform.

BlackRock's first-quarter earnings rose 10% as its exchange-traded equities funds drew client cash and assets increased.

New rules to reduce risk in money-market mutual funds will be proposed in the next two months by the Securities and Exchange Commission, which won’t be slowed by a leadership change, a commissioner said.

Vanguard reported that expense ratios have changed for three of its mutual funds and exchange-traded funds.

The Financial Industry Regulatory Authority fined a firm $37,500 for trade and books and records violations, and a broker $5,000, giving him a four-month suspension, for telling a customer he redeemed bonds rather than sold them without the customer's permission.