Organization Root Tag

New role will oversee leaders and businesses of Wells Fargo Advisors Financial Network (FiNet), First Clearing, and the Registered Investment Advisor (RIA) custody business.

With succession plans fueling the industry’s continuing records in M&A deals, one firm is trying to address the challenge through its acquisition strategy.

Several of Cure’s staff have allegedly resigned since the comments came to light.

CEO Michael Farr will also become Hightower’s new chief market strategist.

The asset manager is extending the payments to all workers who can prove they’ve gotten a COVID-19 vaccine.

Federal prosecutors alleged James K. Couture had reached an agreement to sell a home in Cape Cod before the proceeds could go toward restitution.

Eileen Cure allegedly wrote in a Skype message that she is not prejudiced but she does not want to interview Black applicants.

Financial advisor Alan Kodama’s team aligned with the No. 1 IBD as it reeled in $35 billion in recruited client assets in the second quarter.

Despite fewer incoming advisors, CEO Ron Kruszewski says the company’s pipeline is strong and extending to the independent channel.

Sure, you might have to actually pay U.S. taxes on those crypto trades. But at least it will be easier to figure out how much you owe.

His embrace of volatile cryptocurrencies for mainstream investors is a major shift from the cautious world of fiduciary advice that’s synonymous with his namesake firm.

At least 10 senior bankers and numerous junior employees across the world’s largest wealth management market have left.

The nation’s largest independent broker-dealer aims to boost expansion even more, and it’s not ruling out launching its own bank.

The chairman-elect in 2022 is preparing to deal with the changes that come with a new presidential administration.

The TAMP has also created a new chief digital officer role to oversee improvements to the firm’s technology infrastructure.

The firm is the first service that makes it possible to gain exposure to cryptocurrency as part of a diversified portfolio with automation features.

Record-level asset management fees and investment banking revenues were credited with the increase in net revenue.

The new leader will have to focus on actively managed U.S. mutual funds at a time when index-tracking products like exchange-traded funds are attracting increased investment.

The company's foray into crypto is the latest sign that digital currencies are gaining a toehold on Wall Street.

SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.