A New Mexico judge has approved an unusual plea deal in a securities fraud case allowing a former Albuquerque stock broker accused of fleecing clients in order to...
Wells Fargo Advisors Financial Network, LLC (WFAFN) says it “expanding and realigning” its Supervision Team in anticipation of continued growth in its independent financial advisor...
As part of the acquisition of National Retirement Partners (NRP), NRP employees will join LPL Financial to will form a new division called LPL Financial Retirement Partners.
Britain's financial regulator has fined and banned a former broker for manipulating oil prices by buying more than seven million barrels while on a drinking binge.
As part of a rollout of tools and resources to help advisers transition to new cost basis reporting requirements, Charles Schwab announced a new report to help advisers...
Commissions paid by institutional investors to brokers on trades of U.S. equities are falling far short of projections to this point in 2010, according to Greenwich Associates.
Pershing LLC, a BNY Mellon company, has launched an educational initiative about international investing to help its introducing broker/dealer (IBD) and independent registered investment adviser (RIA) customers capitalize...
Bank of America Merrill Lynch has enhanced and renamed its small business retirement plan platform, MLConnect, to” more closely align with small business owners’ evolving challenges and priorities.”
linkedFA, a social networking service for financial professionals, has partnered with LiveOffice to enable preapproval and archiving of social media posts and RSS feeds.
Morgan Stanley Smith Barney’s Consulting Group has named Marc J. Brookman as director of Sales and Thomas Butler as head of Products and Platform Development.
Advisers affiliated with Commonwealth Financial Network can now use widgets to customize their own version of COMMunity Link, Commonwealth’s adviser Web portal.