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Consumer advocates cheered the outcome of the case and the regulator's enforcement push in recent years. Commonwealth's case is still pending.
November 2 -
Private Advisor Group is going through a CEO succession, while $2.5B firm CCR secured financing from the parent of its longtime brokerage.
October 25 -
These are the largest firms with financial advisors who work with broker-dealers but aren't their employees.
August 22 -
A 38-year veteran financial advisor won a significant award in FINRA arbitration after a brokerage claimed he made unauthorized trades.
May 4 -
Teams are taking longer to switch brokerages as the pandemic recedes and advisors return to the office, according to John Pierce, the firm’s head recruiter.
March 24 -
A FINRA arbitration panel awarded former clients of First Allied Securities the full damages they requested in the case.
March 23 -
Private equity firms are jostling to invest in financial advice firms that they think may become cash cows.
July 14 -
Michele Dillon, a 30-year veteran of wealth management, started in April
July 12 -
She made headlines when she became chairwoman in 2019, but quietly exited two years later when a marketing campaign created a conflict of interest.
July 7 -
The No. 1 IBD added to its record headcount with the third billion-dollar move it unveiled in a two-week span.
June 24