Wealth Management and Financial Planning firm Money Concepts International Inc. is pleased to welcome Barry Marsolais CFP of Lynnfield, Massachusetts as their newest Regional Director. Barry began his ...

Rising costs of acquisitions, higher salaries for employees, and competitive recruiting bonuses for financial advisors, along with the record spike in interest rates, are making it more costly to run ...

A Financial Industry Regulatory Authority arbitration panel has ordered St. Louis-based Stifel Financial Corp.'s (NYSE: SF) broker-dealer unit to pay over $14.2 million to Florida investors who ...

NEW YORK--(BUSINESS WIRE)--ACA Group (ACA), the leading provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, today announced it has acquired ...

LPL Financial (LPLA) announced that the partners of Tennant Financial have joined LPL Financial’s broker-dealer and Registered Investment Advisor platform. They reported serving approximately $1.3B in ...

The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, ...

Alex David, a leading executive in the independent broker-dealer industry, said Monday morning that he's left Stifel Financial Corp., where he was president and CEO of the firm's independent advisors ...

Broker-dealer advocates are calling for an amendment to a 2001 Financial Industry Regulatory Authority (FINRA) rule, arguing that the current regulation fails to reflect the characteristics and ...

ACA Group (ACA), a provider of governance, risk, and compliance solutions to clients in the financial services industry, has announced its intent to acquire the broker-dealer distribution business ...

This content is provided by an external author without editing by Finextra. It expresses the views and opinions of the author. With ACA’s acquisition of FINOP Consulting, led by longtime industry ...

As crypto collides with traditional finance, the trading firm is moving to secure a bigger role in capital formation in the United States.