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The SEC also charged the firm with failing to adhere to policies and procedures designed to catch evidence of excessive trading in client accounts.

The move comes as former Merrill Wealth Management President Andy Sieg takes over as weatlh chief at Citigroup.

Meant to eliminate conflicts of interest on self-directed trading apps that use AI and predictive analytics, the rule would in fact cut off market access for many of the investors who use them, a lawyer for the tech firm argued in a recent public...

Jed Finn was closely involved in helping integrate the Smith Barney brokerage business that Morgan Stanley purchased from Citigroup Inc.

In the latest filing in its suit against FINRA in federal court, the Utah-based brokerage firm disputed the regulator’s claims that a ruling against it could have a dire impact on investors.

While wealth advisors need to serve smaller/start-up plans.

The newly created RIA, Stablepoint Partners, said Goldman’s research, investments and white glove service stood out.

Kingswood now has until Feb. 24 of next year to complete its merger with broker/dealer aggregator Wentworth.

Mariner's "ongoing" campaign to lure Edelman Financial Engines advisors includes calling the larger RIA a "sinking ship."