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The FTC wants buyers and sellers to identify their largest shareholders, the extent of their influence and any communications they’ve had, sources say.

While there are strategies to help reduce risk, clients should recognize the order of investment returns is crucially important, an expert writes.

The regional BD’s new hires in January have averaged more than $100 million in AUM.

Thomas Rex is a senior vice president at Fingerprints.

The bank's former chief executive will pay a $17.5 million penalty and be banned from the industry.

If these black financial advisors meet the goal, it will defy the industry's stark racial disparities: early career growth at that level just “doesn't happen in our demographic,” one partner says.

The firm is drawing heightened interest from advisors generating between $1 million to $5 million, according to CEO Paul Reilly.

The all-woman unit will operate from two locations.

The promotions positions Jim’s son Nathaniel Simons to assume his father’s role as chairman under a succession plan that began about a decade ago.

Laurie Stewart is president and CEO of Sound Community Bank and its parent, Sound Financial in Seattle, Wash. She is also chair of the American Bankers Association.