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$21 billion advisory firm is expanding to Europe
New York-based Tiedemann Advisors is partnering with Switzerland's Constantia Partners to target clients in the EU and Middle East.
Kansas City duo managing $285 million changes channels at Wells Fargo
After 20 years as employees, Sarver Vrooman Wealth Advisors moves to FiNet.
Lyft founders giving more than 1.5 million shares to donor-advised fund
The two transferred some class B shares, which have more voting rights, to class A common stock to make the donation
Merrill Lynch client sues over ‘paltry’ cash yields
Customer claims Merrill's and Bank of America's disclosures were inadequate.
Mnuchin eyes 100-year debt Wall Street would just as soon forget
Big banks on Treasury's borrowing advisory committee have been pessimistic about the notion of ultra-long bonds.
SEC charges advisory firm, executives with defrauding injured NFL players
The players were part of a class-action lawsuit over concussion-related brain injuries.
SEC imposes $8.4 million penalty on digital coin issuers
Dallas-based Bitqyck and its founders were charged with fraud and offering unregistered securities.
Fidelity, Jerry Schlichter trade barbs over Abigail Johnson testimony in 401(k) lawsuit
Mr. Schlichter, who represents plaintiffs in the suit against MIT, is seeking to have Ms. Johnson testify about a quid-pro-quo allegation.
Finra bars former Allstate broker for using employee’s IRA money
Kari Ann Buckles kept $2,264 she was supposed to deposit, Finra says.
New York IBD to acquire $2.5B Boston hybrid
National Holdings Corp. is set to acquire Winslow Evans & Crocker Inc. in 2020.
Massachusetts fines Wells Fargo $450,000 over unregistered agents
Securities regulator says more than 1,600 agents and managers had lapsed registrations.
Finra department alleges Allstate rep took $2,500 from widow for trip to Spain, spa massages
Complaint requests that Finra impose sanctions on Jesse Gil
It’s time for leadership, not just innovation
Tech innovation is the easy part — the real challenge is driving adoption
UBS shifts to underweight position on equities
Cites trade wars and political uncertainty as main reasons for downgrade.
Software developer Invent.us creates consulting group to serve users
Suzanne Siracuse, Tim Welsh part of team to help advisory firms maximize new tools.
Team managing $100 million at Morgan Stanley leaves to form hybrid
PrairieFire Wealth Planning uses B-D, RIA platforms of Sanctuary Wealth.
Stocks sink as U.S.-China feud deepens
Escalation of the trade war heightens concerns about the already shaky economic outlook.
Muni-bond refinancing surges as yields hold near a record low
The jump is a welcome shift for Wall Street underwriters and mutual-funds that have cash they need to invest.
UBS hit with $4.4 million arb award over Puerto Rico bonds and funds
Finra panel gives UBS investors $4.25 million in damages, $170,000 in costs.
Vanguard social-investing error prompts funds to check controls
The mishap raises new questions about how ETF managers monitor the indexes that underlie their portfolios.
