That change would increase the cost of arbitration for firms and retail investors, some industry watchers warned. But Finra describes the increases as necessary.
Roger W. Rodas was in actor Paul Walker's car; firm “deeply saddened” by loss.
Former Sen. Christopher J. Dodd and ex-Rep. Barney Frank defend sweeping regulatory reform.
A new study finds the number of independent advisers grew at 8% per year versus the industry's overall loss of 1.2% advisers per year.
Torrance, Calif., based firm has expanded into San Diego and Orange County, and has bigger aspirations
Focus Financial is part owner of acquirer Colony Group.
Nearly half of advisers surveyed expect online providers to be one of their top three competitors for assets in five years
