Organization Root Tag

New COO is pitching firm’s name, platform — and capital.

The business could fetch as much as $1 billion, sources say.

The back-office staff and asset-management division bore the brunt of a decline in the overall size in the class.

The 4,300-advisor network is investing in insurance distribution after benefiting from rising interest rates and record client assets.

Sentieo is a financial research platform that allows analysts to do financial research, annotate documents and collaborate with colleagues all within the same software.

Can smart speakers meet the level of sophistication and security needed for wealth management?

It’s the second big loss for Credit Suisse, which is fending off dozens of claims from former brokers claiming their compensation was withheld.

To sway a federal judge, both sides have tried to bolster their arguments by pointing to Facebook, joint production agreements, news articles and more.

The good times in munis aren’t likely to last as the Fed’s push to boost interest rates will hamper future results, an expert says.

Despite the IBD converting much of its technology, HD Vest's COO says the process has been less painful because its planners are supportive of the changes.

The midterm elections virtually eliminate the chance that progress will be made on financial services legislation.

The presumptive chair of the House Financial Services Committee will likely take the panel in a sharply new direction and have a new bully pulpit to criticize the Trump administration.

The focus since the 2016 election on easing rules, tax cuts and expanding access to credit is about to be turned on its head.

Several Senate, House and gubernatorial battles are of interest to financial firms. Here is a spotlight on specific contests, with updates as they become available.

CEO Jamie Price and other executives met with some 1,000 prospective advisors after inking one of the largest M&A deals in the IBD space this year.

Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

Douglas P. Simanski allegedly told clients he would invest their money in a “tax-free,” fixed-rate investment, a rental car company and a coal mining firm.

Clients should turn to their own timeline before making any changes to their portfolio during a market correction.

The regional BD’s newest hires oversaw $230 million in client assets.

Actions against advisors and fund companies accounted for nearly a quarter of all standalone cases, even while budget constraints and legal setbacks hobble enforcement efforts.