Broker-Dealers

Displaying 4960 results

Topic

Former baseball star Angel Pagan wins $1.7 million arbitration award against Merrill Lynch

Case revolved around investments in Puerto Rican bonds made by the former MLB star

Topic

Small brokers push bill to ease audit rules despite challenging political environment

Legislation impacting financial advisers tries to get traction amid impeachment, election

Topic

A new playbook for independent broker-dealer M&A

After 10 years of IBD acquisitions, there’s little left on the block. But whatever is up for sale, at the right price, private equity is buying

Topic

Another major boost for ESG investing

MSCI rolls out principles of sustainable investing

Topic

All-woman team managing $335 million at Morgan Stanley moves to Janney

The five-person Dupre Keating Group joins offices in Pennsylvania and Delaware

Topic

Duo managing $194 million moves from UBS to Raymond James

James Ducharme, Michael Rowland join firm’s employee unit in Melbourne, Florida

Topic

UBS hires $10.8 billion team as net new client money in U.S. slides

The Swiss bank snags Wickham Cash Partners in Charlotte; reports $9 billion decline in net new money in Americas in Q4

Topic

Finra names Jessica Hopper head of enforcement

The longtime Finra official served as acting enforcement chief since September

Topic

Commonwealth adviser arrested in child prostitution sting operation

Nathan Duane Oeming allegedly responded to an ad posted by a detective posing as a 15-year-old girl

Topic

Finra fines Prudential $1M over sloppy retirement-plan information

Regulator says flawed communications left plan participants in dark about investment costs

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