Organization Root Tag

The cuts are said to range across several businesses in the group.

The Biltmore Capital fund was dissolved at an almost total loss, but not before Caleb Overton raised $2.2 million from 10 investors.

State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.

The liquidations are part of an ongoing process to ensure its products meet their clients' evolving needs, the firm says.

The proposals failed to show how exchanges would “prevent fraudulent and manipulative acts and practices," the commission said.

The founding partners spent a combined 54 years with the No. 6 IBD before launching the fee-only firm.

As some investors flee emerging markets, others see deals. Here’s what advisors should know.

The former MetLife advisors had affiliated with three different IBDs over four years amid the increasing consolidation in the space.

The advisors decided to join the firm following a meeting with Raymond James' leadership in St. Petersburg.

Soon after shuffling C-suite, the independent broker-dealer brings on nine advisors while it continues hunt for a new CFO.

M&A data varies widely among providers.

Investors moved nearly 2 million shares worth $55 million into two SPDR funds in a matter of hours.

Merrill Lynch’s head count isn’t suffering, but some regional BDs have grown by thousands in the past five years.

Planners have been leaving bank-backed firms in droves in search of what they say is greater freedom and flexibility.

With $145 million of net inflows, the fund is on track for its best month since June 2017.

The service gives clients 100 free trades in the first year, free equity research and the ability to earn unlimited free trading.

The firm "deprived its clients of unbiased financial advice," the regulator says.

Weissbluth will step down as CEO and become chairman.

Miguel Sosa has found that LinkedIn videos help him reach his global client base.

The firm’s most recent hires are 2 advisors overseeing more than $550 million in client assets.