Organization Root Tag

The regional BD failed to properly document its own investigations in the matter, and couldn't answer some SEC questions about who knew what and when, the regulator says.

National Financial Services accused the brokers' former IBD of breach of contract in a case displaying the complexities of such moves.

The broker also purportedly neglected to disclose an outside real estate business to BBVA, FINRA said.

Issuers and investors stand to benefit from the provision, which makes it easier for managers to select securities for their funds, but not without risk.

Combating these misconceptions may help taxpayers maximize benefits.

The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.

Despite leaving the Broker Protocol, UBS continues to selectively recruit high-end teams.

S&P 500 enjoys its biggest one-day jump since August 2015.

Wirehouses have been losing talent as advisors seek more freedom in how they structure their practices.

The e-commerce giant is muscling its way into a number of services that banks have long dominated.

Pet owners are seeking guidance on funding alternatives, drafting detailed pet-care instructions and leaving significant sums of money that can run into the millions of dollars.

Portfolios will be selected based on machine learning and natural-language processing.

The firm is seeking to buy wealth management assets more aggressively after gaining greater clarity from global regulators on how much capital the bank will need over coming years.

Frustrated by the limitations of working at a bank-owned brokerage, advisors Randy and Matthew Price opted to join the independent firm in Houston.

The latest influx, which closed late last year, brought in $75 million.

Some investors are demanding action on gun manufacturer and retailer stocks. Can financial advisors deliver?

It’s been a miserable week for higher-risk markets, as a trade war edged closer and the tech sector was roiled by Facebook’s scandal.

Clients may be in the dark about the regulators new rules for taxing digital currencies.

Cetera has provided financing and other services in more than 250 acquisitions across the IBD network since 2015.

The firm’s headcount increased 8% in just one year.