Practice

The 4,000-person regulator in March was one of the first federal agencies to tell employees to stay home due to the public health emergency.

Earlier this year, FINRA arbitrators granted the former advisor’s expungement request, but still sided with the firm on its demands for repayment of two promissory notes.

“Overall there were not many positive data points to hang your hat on,” according to analysts. Advisor headcount, net interest income and assets were down.

Chief information officer Frank LaQuinta reveals the firm’s $500 million acceleration strategy, plus how advisors are using technology during the coronavirus pandemic.

The latest cash influx values the fee-free trading app at $8.6 billion.

Startup Breakaway Bookkeeping & Advising is building a network of finance professionals to act as virtual CFOs for small-business clients.

The advisors are based in Florida, while the new executive will oversee the New York tri-state area.

Advisors who missed the “first-mover advantage” a decade ago could be in the catbird seat as all the rules change.

A class action asserts that the data aggregator accesses more of consumers' bank account information than it needs and ultimately aims to sell the data to others. Plaid, which has agreed to be sold to Visa, denies the allegations.

U.S. officials have raised questions about the security of TikTok, which is owned by Chinese company ByteDance.