Ahead of Thanksgiving, Osaic-affiliated AmeriFlex added two teams in four states and Steward Partners moved into Georgia.

Avantax CEO Chris Walters is expected to depart following the deal’s closing.

On the heels of its move to NYC, RCG won awards for ‘deal of the year’ and ‘firm of the year’ from The M&A Advisor.

The national healthcare advisory firm will merge its wealth management business, Curi Capital, with RMB.

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

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.