The regulatory agency charged BNP Paribas Securities and BNP Paribas Prime Brokerage for failing to put policies in place that would catch suspicious transactions of penny stock securities, according to an action released today.
The partnership with Juncture Wealth Strategies is part of a broader recruitment and transition initiative to attract wirehouse brokers looking to go independent.
Amidst the digital wealth advisor adding assets, James Burton is named as the firm's first chief growth officer.
UBS said Monday it would be launching a new pricing structure on its strategically managed accounts on Jan. 13, 2020.
New Hampshire’s investment with Fisher represented about 2.6% of the system’s assets.
The addition follows a merger earlier this year between Lido and San Diego-based Ken Stern & Associates.
High valuations, the lure of scale and a strong stable of thoroughbred acquirers are driving the activity.
