Organization Root Tag

Planner Faiza Kedir became the first to use the new affiliation, as independent firms seek to boost their appeal across the industry's spectrum.

Jonathan Vincent Glenn's admissions follow his $3 million settlement with the SEC over similar charges.

LPL's employee channel has proved popular since its 2019 launch, and recently announced its first $1B team. Here's how that move happened and where Linsco goes from here.

The Wall Street giant is seeking to enforce contract clauses meant to keep former employees from working for rival firms or reaching out to clients for six months.

Two financial advisors left JPMorgan Securities and one left Capital Group's high net worth unit for the fast-growing midsize firm.

The team, led by three experienced industry players, will work out of the Philadelphia office the Swiss banking giant opened in August.

Naratil sees the new CEO as the right person to deliver on integration with Credit Suisse.

Mandating the use of pricey arbitrators for retail investor complaints makes no sense — other than to make the process prohibitively expensive, argue two investor advocates.

Industry recruiters say offers of shares in advisory firms are hard to value.

Mary Callahan Erdoes, CEO of asset and wealth management at the megabank, says recent advancements in remote connectivity will lead to a "much better Wall Street than many of us grew up in." She urges women not to let newfound flexibility go away.

FINRA booted Scott Reed from the industry after he went outside his firm to raise money for a software and web development firm.

A new report on wealthy Americans' philanthropic activities shows where advisors can help women and younger investors with giving back.

The Wall Street giant's private bank contends it had advised the plaintiffs against concentrating their money in risky investments.

Anthony Viggiano and three classmates once won a competition about which team could best tackle dilemmas they'd face as financial professionals. He's now accused by federal prosecutors of being at the center of an insider trading scheme. 

The bank team was seeking a place to support its growth in providing boutique 'concierge' services, while maintaining autonomy.

Citigroup will pay almost $2 million to settle SEC allegation that two of the bank's brokerages recommended trades to customers without appropriately mailing disclosures to them.

Perella Weinberg's self-reporting of violations led to a much smaller fine than those imposed on other firms.

The former employee is accused of shuffling information to two friends.

It's the latest instance of a wealth management group leaving the Swiss banking giant.

Former SEC lawyers say regulators are now likely going through their cases and deciding which are emergencies worth pursuing even if the agency's staffing is severely reduced.