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Broker-Dealers

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RBC Capital Fined More Than $700K For Finra Violations

by FA Staff

The firm must pay fines and restitution for violations on trade confirmations and customer credit.

LPL Snags $860M Dallas Team From Lincoln Financial

by FA Staff

LPL's recruitment of Dallas-based Strategic Wealth comes ahead of Lincoln's purchase by Osaic.

Ex-Ameriprise Advisor In Texas Gets 5 Years For Stealing $1.2M From Clients

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Dusty Sternadel tricked her mostly elderly clients into cutting checks that she deposited into her personal accounts.

Goldman To Bankers: No Sneaky Trips To Paris During Olympics

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The bank warned employees that trips to this year's Olympic city will be closely monitored.

Independent Insurance Brokers Most Impacted By DOL Rule, Attorney Says

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Unlike advisors, many broker and agents will be contending with fiduciary responsibilities for the first time.

New FTC Ban On Noncompete Agreements Raises Questions In Advisor M&A World

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The new rule could allow exiting advisors to actively recruit clients. IAA says it goes too far.

S.C. Advisor Pleads Guilty To Tax Evasion

by FA Staff

The IRS said he failed to account for $2.5 million in money shuffled in overseas accounts.

DOL Approves Final Fiduciary Rule

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The controversial rule expands the fiduciary requirements when clients are given advice on retirement account rollovers.

'Peak' Boomer Retirements Will Reduce U.S. GDP By 7.3% By 2030, ALI Study Says

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The financial services industry is projected to lose 761,000 experienced employees during the retirement wave.

TD Investors Meet As Probe, CEO Succession Fuel Frustration

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The bank's shareholders meeting comes as the firm contends with a probe into its anti-money-laundering controls.

Tiny N.J. Broker Behind Booming IPOs Is Back With 380% Blockbuster

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The firm's underwriting efforts have typically focused on Asian companies.

Finra Says It's Focusing On Repeat Offenders, Considering Higher Penalties

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"Bad actors" with a history of repeat violations will be a major priority, Finra's enforcement chief said.

SEC Targets Its Own Staff's Texting, Nixes WhatsApp On Work Phones

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The move follows about $3 billion in fines imposed on financial firms over private messaging.

Longtime LPL Exec Joins TIFIN As President, Chief Revenue Officer

by FA Staff

Rob Pettman will oversee growth strategies at the Boulder, Colo.-based technology incubator.

Morgan Stanley Downplays Regulator Queries Into Wealth Management Clients

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The inquiries focus on a wealth management arm that has swelled into Morgan Stanley's biggest business.

Brokerage, Annuities Industries Make Last-Ditch Effort To Delay DOL Fiduciary Rule

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The groups, arguing the proposal has been rushed, asked government officials to get more public input.

Schwab Revenue Tops Estimates Even As Net New Assets Decline

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The Westlake, Texas-based firm reported $4.74 billion in net revenue for the three months though March.

Goldman's Wall Street Machine Revs Up Driving Surprise Profit Surge

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Goldman Sachs has sought to win back investors with a renewed focus on its core Wall Street business.

J.P. Morgan Ordered To Pay Broker $250K In Defamation Case

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A Finra panel sided with a broker who claimed the firm defamed him in a Form U5 filing.

5 RIAs Fined $200K For Violating Marketing Rules, SEC Says

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The SEC has now penalized 14 registered investment advisors in its crackdown on marketing infractions.

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