Advisor Sam Su is accused of telling a client “that to withdraw money from her accounts, she would have to engage in sexual relations with him,” according to a claim filed last week in Finra’s dispute ...

According to Finra, Kim and two other unidentified persons set up "an informal partnership" in 2019 for building and selling properties on six plots of real estate and sharing the proceeds, the ...

Ampersand Partners has swiped yet another advisor team from Wells Fargo Advisors. Advisors Stanford Slovin, Jonathan Neuman, Patrick Callaghan and Chin-Hui "Lisa" Su have joined Ampersand in ...

Stifel Financial Chief Executive Officer Ron Kruszewski received a more than 21% pay increase in 2024 compared to 2023, according to the firm's latest proxy statement, filed Friday.

Asked on Bloomberg TV whether earnings revisions were on the way, given the consensus that President Donald Trump 's tariffs would be closer to 10% "across the board" and 50% to 60% for China — rather ...

In November 2023, Tidal conducted the first SMA-to-ETF conversion, launching the Days Absolute Return ETF. The fund, which was renamed the DGA Core Plus Absolute Return ETF in August 2024, now has $19 ...

The 16% figure was cited by SEC Chief Operating Officer Kenneth Johnson in a Tuesday email to some staff, two of the sources told Reuters.

A bill reintroduced in the House of Representatives seeks to set higher thresholds for capital gains tax brackets in a bid to bring the tax in line with inflation.

Effective June 1, David Chubak, the current head of branch development and the U.S. business unit, will take on the new role of head of wealth management and field management, while Lena Haas, who ...

The MK Group is the third advisor hire announced by RBC since last week, the others being an eight-person team that oversaw $5 billion at J.P. Morgan and a solo practitioner who oversaw more than $1 ...

Ameriprise Financial has stopped reporting its advisor count in its quarterly earnings, a company spokesperson confirmed.

Ameriprise Financial and Raymond James executives are optimistic about their recruiting pipelines despite the current market volatility and increased competition. Ameriprise's recruiting pipeline "is ...