Location Root Tag

UBS brokers rack up expungements of Puerto Rico complaints

Louisiana's Transportation Secretary and the former Assistant to the President for Infrastructure discuss the state of play in the U.S. P3 sector, the impact of the new infrastructure law, and what's in store for the next decade.

FINRA found that Michael Mancinelli improperly exercised discretion and caused his firm to have inaccurate books and records.

Democrat-leaning states argue that the $10,000 SALT cap deduction is politically motivated and violates the U.S. Constitution.

The Build Back Better reconciliation bill would raise the SALT cap to $80,000 from $10,000, and that impact varies widely from state to state.

(Bloomberg Opinion) — More than 100,000 people who used to work or live in New York State have received notices from the tax department questioning them about their whereabouts last year and asking why they paid less to the state than they have in years past.

A longtime Merrill Lynch veteran, Michelle Avan advocated for Black women and other under-represented talent.

The number of registered investment advisors in the Sunshine State is up 27% over the last 5 years.

The managing director was arrested for two domestic violence incidents over a three-week period.

Amerant Bank has invested $2.5 million in Marstone to provide a digital alternative to personal wealth advisors for new and existing clients. The technology "gets planning capabilities into the hands of any customer that wants them," says Jerry Plush, the Florida bank's new CEO.

Fueled remote work and worries over tax hikes, financial advisors who live in expensive cities are trimming their personal tax bills by moving to low-tax and no-tax states.

Jose Ramirez says he doesn't recognize the criminal mastermind portrayed in the SEC's complaint against him.

FINRA arbitrators ordered the wealth manager and closed-end funds manager to pay damages as it resolves outstanding claims stemming from the island’s fiscal crisis.

Government digital currency projects have the potential to displace banks and fintechs from the payment process. But three major participants — Accenture, Ant Group and Swift — argue that incumbents have a role to play.

The stock exchange has said it will end trading in shares of certain China-based companies, thanks to a long-running accounting dispute, writes Earl Carr.

Relations between the world’s two largest economies are at the lowest point in many years.

Hilltop was fined a total of $475,000, with $100,000 pertaining to violations of municipal securities rules.

Charles Doraine settled with the Financial Industry Regulatory Authority on Monday without admitting or denying FINRA’s findings.

Other global health threats, such as SARS, did not have long-term impact on stocks. COVID-19 might be another matter.

Fear and worry are rampant. One client asked if any other client had recently returned from China.