Company agrees to pay sum to settle Finra charges it exaggerated credit quality of securities in fund
Affiliation will aid hybrid firm's projected expansion to $3B in assets by end of 2013
Brokers and other observers say a culture clash and cost cutting have left legacy Smith Barney reps feeling demoralized and could cause more of the firm's brokers to leave.
Set up the company's first Las Vegas office; two other teams exit the herd as well
Finra said it is considering an exemption for a controversial fee it charges for existing members that make material changes to their firms
Midsize advisers who haven't completed their switch to state registration from the SEC could have their registrations withdrawn — possibly by the end of the year.
Bachus bill denounced at TD Ameritrade conference; momentum shifting?
