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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
Small brokers push bill to ease audit rules despite challenging political environment
Legislation impacting financial advisers tries to get traction amid impeachment, election
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
Another major boost for ESG investing
MSCI rolls out principles of sustainable investing
All-woman team managing $335 million at Morgan Stanley moves to Janney
The five-person Dupre Keating Group joins offices in Pennsylvania and Delaware
Duo managing $194 million moves from UBS to Raymond James
James Ducharme, Michael Rowland join firm’s employee unit in Melbourne, Florida
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
Finra names Jessica Hopper head of enforcement
The longtime Finra official served as acting enforcement chief since September
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
Finra fines Prudential $1M over sloppy retirement-plan information
Regulator says flawed communications left plan participants in dark about investment costs
