The Financial Industry Regulatory Authority and the Department of Justice have asked the U.S. Supreme Court to deny the request of Salt Lake City–based Alpine Securities for a hearing of its case, ...

Brenna entered the financial services industry in 1988, registering with FBS Brokerage Services, according to BrokerCheck. In 1994, he registered at Dain Rauscher Inc., and in 2006 he transitioned to ...

The SEC filing cites a Finra arbitration against B. Riley Securities involving seven claimants who allege that securities laws were violated in relation to Franchise Group, or FRG, a now-bankrupt ...

The Americas unit, which comprises the United States, Canada and Latin America, had 5,884 financial advisors at the end of March, down 1.4% from 5,968 at the end of December and down 3.2% from 6,079 ...

A bill passed in the Washington State Legislature aims to make up that state's budget deficit with higher taxes on wealthy investors, tech giants — such as Amazon and Microsoft — and other industries, ...

Edward Jones is expanding its recently launched private client service for high-net-worth investors by providing the option to access alternative investments.

Wealth Advisor Growth Network co-founders John Phoenix and Jay Hummel have launched a registered investment advisor succession incubator majority owned by advisors.

Wells has now cleared six consent orders this year and 12 of the 14 consent orders imposed by regulators in the wake of the 2016 bogus-account scandal, in which thousands of Wells' retail bank ...

New Securities and Exchange Commission Chair Paul Atkins has signaled a new regulatory approach to cryptocurrencies, as he criticized the agency for having "stifled" innovation in the space.

The Fixed Income Risk Diversification model portfolio is intended for advisors and clients seeking a highly diversified portfolio, with exposure to global investment grade bonds and protection against ...

Vasilik, president and chief executive of the practice, has 28 years of industry experience. He started with Equity Services Inc. in 1997 and had been with Ameriprise since 2014, according to his ...

"Our Workplace Wealth Solutions business is an essential part of our growth strategy at UBS," Camacho added. Workplace Wealth Solutions, which includes the equity-plan-administration, ...