Finance

A lawyer representing hedge fund manager George Jarkesy argues the dispute could be solved simply by letting defendants choose to take their cases to regular courts.

The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.

The St. Louis-based firm now has more than 19,000 financial advisors, according to its latest SEC filing.

The Canadian asset manager's U.S. wealth arm was highlighted for growth in revenue and earnings

The company that provides services to 107,000 advisors as seen year over year saw increases in assets under management and accounts per advisor.

Officials are looking into the banking giant's anti-money laundering measures with clients outside the U.S.

With interest rates likely to level off, wealth managers who leave their clients in cash could miss out substantial long-term gains.

Even with an exodus from the acquired firm, the Zurich-based bank managed to pull in $22 billion in net new client money in the third quarter.

The best-selling writer discusses the follies of financial forecasting, the benefits of a good imagination and how recessions are like thunderstorms.

As he takes command of the California TAMP, incoming AssetMark CEO Michael Kim says he wants to hit 5,000 engaged advisors by 2026.

NASAA, PIABA and stock exchanges argue the demise of the self-regulator would leave an unfillable hole in securities regulation.

The inquiry into Wells Fargo comes at a time when clients can often secure much better rates of return through money markets and certificates of deposit.

The deal, which closed Oct. 31, adds 17 financial advisors and marks the RIA acquirer's fourth purchase under its new ownership.

The leading IBD firm is eager to dominate the entire advisor industry, following another strong quarter for recruiting.

Coming off another record quarter, the independent broker-dealer giant sought to reassure analysts questioning its stagnant advisor headcount.

The firm's total advisor headcount holds steady while its assets under management swell to $816 billion.

The firm's bottom line took a one-time hit from legal expenses even as it recruited advisors and added to its assets.

CEO Dan Arnold said on the firm's last earnings call that the tools were "receiving positive early feedback and demand in the marketplace."

Thomas Brenner joins his accomplices Perry 'King Perry' Santillo and Christopher Parris in receiving prison sentences for defrauding investors.

The unprecedented run of bull markets that buoyed fund managers' investments and masked life-threatening vulnerabilities may be a thing of the past.