In a court filing, Wells Fargo argued there was "no evidence in the record" supporting the existence of a verbal agreement between its counsel and FINRA to exclude certain arbitrators from their cases.
The Canadian aggregator of U.S. wealth management firms will use the proceeds of the IPO to pay down debt.
With the continued focus on index providers and the growth of index-based investment products, increased regulation is inevitable, writes the former CEO of S&P Dow Jones Indices.
The big name providers are set to become even bigger, writes the former CEO of S&P Dow Jones Indices.
Pathstone President Matthew Fleissig discusses what it took to build the RIA into one of the largest in the business, and its plans for the future.