The rule filing would have made several changes to the regulatory agency's expungement process, including establishing "specialized arbitration panels" for such requests.

The mergers, acquisitions and advisor moves you may have missed the week of May 24, 2021.

Icahn took some time to discuss his views on American malls, U.S. President Joe Biden’s performance so far, and the impact inflation might have on an economic rebound.

The value of her personal property is estimated at $5.5 million.

Speakers during the closing session of the group's Private Client Virtual Conference this week also detailed the legislative prospects for the PRO Act, which could limit IBDs' contractor status.

Citizens Bank plans to initially hire 30 financial advisors to cover acquired HSBC branches in the New York market.

In the challenge to make offices both COVID-19-safe and attractive places to work, firms have been experimenting with working arrangements and space while employees toiled at home.

As if Zoom weren't enough, the broker/dealer is working on an augmented reality application that will allow advisors and clients to 'meet' in a virtual room.