The firm’s failure to flag a rogue representative’s unapproved transactions led to more than $7.2M in losses for at least 30 customers, says Finra.
The deal with the Oregon-based high-net-worth practice will take the employee-owned independent’s assets past $10B.
The national independent has extended its East Coast profile with a specialized wealth practice in Massachusetts.
A new report indicates the $3.5B fintech firm is on the cusp of being acquired by the private equity giant.
A New Orleans-based appeals court is set to decide on a DOL rule that could impact $12T and more than 150 million workers and retirees in retirement plans.
The firm’s family office division has expanded its presence in the East Coast as it welcomes a veteran ultra-high-net-worth advisor in Boston.
More retirees are discarding traditional strategies as higher expenses and obligations put them on the financial back foot.
The former BlackRock ETFs leader vowed the firm would preserve Jack Bogle’s original vision while evolving in step with its customers’ needs.
For many past champions, the absence of a state income tax is a valuable bargaining chip when it comes to luring free agents.
Report reveals a commanding lead for tech ETFs, while multi-asset ETFs grew steadily driven by option-based strategies.
