The custodian’s current majority owner, Parthenon Capital Partners, will retain a minority stake in the company.
The company is reportedly in the midst of plans for a U.K. expansion.
FINRA granted 70 percent of broker expungement requests over the last decade.
Banks lose "stickiness" when automation erodes a bank's value-add.
Self-aggrandizement or science? Why not both?
The merger will allow NCS to expand into new customer segments, investment products and geographies.
The private equity firm will pay a $400,000 fine to the SEC.
The automated investing company expects to build on improvements in client support and internal organization.
Florida-based Dakota Wealth Management now has $700 million in AUM.
