The Superior Court in Fulton County, Ga., overturned a decision by FINRA after plaintiffs argued the firm’s counsel unfairly manipulated a list of arbitrators.

Presidents and CEOs at Lincoln Investment, Stifel and Raymond James discussed the regulatory regime in Washington and the impact of the COVID-19 Omicron variant during a discussion at FSI’s OneVoice conference.

More legal trouble for the Spanos Family Trust.

The goal is to bolster mentorship and paid internship opportunities for high school and college-age students from underrepresented backgrounds in the financial services field.

'It’s great that PE is involved with our business as a validation of sorts, but I think the thesis is wrong,' said Phil Fiore, CEO of Procyon Partners, a Dynasty partner firm.

Hightower’s deal with Los Angeles–based Grant Tani Barash & Altman brings personal CFO services to the firm’s advisors, the next step in creating an end-to-end family office model.

The suit seeks unspecified damages for “wrongful, felonious and tortious conduct.”