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After acquiring four firms’ assets, the industry giant still faces big challenges ahead.
March 2
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Funds managed by Marco “Mick” Hellman sold most of their holdings, while CEO Dan Arnold received options worth $5 million.
February 28
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A FINRA arbitration panel concluded that the No. 1 IBD made false and defamatory statements in its U5 filings.
February 20
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Among recent career changes, Merrill Lynch lost brokers managing $2.2 billion to rival J.P. Morgan Securities.
February 20
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The firm is tapping a pool estimated by LPL to be as large as 1,200 brokers with $35 billion in client assets.
February 14
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The Waterbury, Connecticut-based bank wanted to ensure that it was meeting the technology expectations of clients across the wealth spectrum.
February 13
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Private Advisor Group reported impressive growth even as other practices of its kind have left the No. 1 IBD.
February 12
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As lure, the firm deploys a $52 million technology platform that is the “best that I've seen.”’
February 8
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Pole-vaulting advisor Mark Cortazzo’s practice marked at least the second hybrid in three months to leave the firm for Mutual Securities.
February 6
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Ameriprise is looking to reverse a decline in its headcount.
February 6
