Industry

The new act would help victims of securities violations get some money when they have not received full payments, and includes higher awards for 'vulnerable persons.'

Over the next three years, as many as 700 positions are expected to be eliminated in Switzerland alone, with the bulk at the corporate cost center and about 200 between wealth management and the bank’s Swiss unit for personal and corporate banking.

Dynasty Financial Partners joins Mariner Wealth Advisors in putting Eaglebrook Advisors' SMAs for digital assets on their investment platforms.

Moneta, a $27 billion RIA headquartered in St. Louis, is the latest firm to bring trust company services in-house; observers say it's unlikely to be a widespread trend.

PIABA urges FINRA to establish an Investor Advocate position to ensure valid customer complaints are not expunged from brokers' CRDs.

Merrill Lynch advisors will have exclusive access to the designation for a year before the College for Financial Planning opens up the course to others.

The addition of Knowlton, Knowlton, & Larsen creates Rockefeller’s first private wealth team in Boston.

The group is joining other plaintiffs in a suit filed in a Texas federal court, with CEO and President Dale Brown claiming the DOL's decision was 'hasty and arbitrary' and would be detrimental to independent financial advisors.

The mergers, acquisitions and deals you may have missed the week of May 10, 2021.

The Dallas-Fort Worth outpost will accommodate financial advisers and tech-support staff.