Affinity Investment Services LLC has been ordered by a Finra arbitration panel to pay $925,000 to a former broker who alleged she was fired after complaining about wrongdoing at the firm.
With a market share more than twice that of its closest competitor, The Charles Schwab Corp.'s Advisor Services unit is the acknowledged king of the RIA mountain — and Bernie Clark intends to keep it that way
Fidelity Investments today is launching a service designed to help investment advisers who use the firm's custody services attract more business from wealthy clients by giving them access to its single-family-office services
TD Ameritrade Inc. announced today that it will offer new-issue municipal bonds both to its discount clients and the investment advisers who hold assets in custody at the firm.
Three independent governors elected to the Finra board in August are already drawing fire from critics who say that they have abandoned the reform platform that got them elected in the first place
Three reformist small-firm governors elected to the board of the Financial Industry Regulatory Authority Inc. in August already are facing some heat.
But the road to riches is paved with lots of obstacles, experts say
The Investment Management Consultants Association is zeroing in on independent advisers as it attempts to attract new members to certain designations.
Sheepish about being bullish, Sonders nonetheless predicts rebound in hiring, investor enthusiasm
