Industry

The San Diego-based broker/dealer has recruited 10 offices with $2 billion in client assets from National Planning Corporation.

The rule, if approved by OMB, would delay the Jan. 1 applicability date of the fiduciary rule until July 1, 2019.

Jennifer Sharkey claims JPMorgan Chase violated whistle-blower protections in the 2002 Sarbanes-Oxley Act and is seeking back pay, compensation for her emotional distress and reinstatement to her job.

“We are getting close to the end of the restructuring,” Credit Suisse CEO TidjaneThiam said. “We think the plan is working very well -- so why change?”

Sallie Krawcheck’s dos and don’ts for young women, Woodbury Financial adds Tenacity Advisory Group and a Utah financial advisor pleads guilty to fraud.

Data breaches and cyber-attacks top the list of the biggest risks facing the industry, but what's being done?

Morgan Stanley’s protocol administrator appears to delay public announcement of pullout.

Wealth management needs will soar, says report, but many current wealth managers won't, commodities were the one bright investment spot last week, and Kestra Private Wealth brings on a $150 million team.

A “seismic” event for the industry might have broad consequences.

The company’s advisory group has approximately $4.8 billion in assets.