Practice

The wirehouse and its independent arm failed to store millions of documents in the right format over a 17-year span, the regulator says.

In the first hearing for the Social Security 2100 Act, Republican members questioned the legislation’s effectiveness and price tag.

Democrats’ tax bill would slash in half the tax benefits of founder stock, but a potential workaround exists.

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.