On July 29, FINRA accepted a Letter of Acceptance, Waiver, and Consent (AWC) against a full-service broker-dealer for allegedly failing to establish a supervisory system connected to non-traded real ...

Finra has fined a California-headquartered broker dealer $475,000 for a years-long failure to establish and maintain adequate supervisory systems to prevent excessive trading that resulted in millions ...

Leaders at Siebert Financial discuss how AI has supercharged marketing outcomes and compliance capacity – while still keeping ...

CHICAGO, May 30, 2024 /PRNewswire/ -- Concluding a multi-year search, Portsmouth Financial Services has entered into an asset purchase agreement that will bring approximately 40 advisors and over ...

Leading independent broker-dealer & RIA with over $6B in assets under management expands and enhances its wealth management platform CHICAGO, July 12, 2024 /PRNewswire/ -- Arete Wealth, a full-service ...

ATLANTA, Jan. 24, 2024 /PRNewswire/ -- San Blas Securities, a full-service broker-dealer headquartered in Atlanta and member of FINRA, SIPC and MSRB, today announces the launch of San Blas Capital ...

BIRMINGHAM, Ala., Feb. 26, 2025 (GLOBE NEWSWIRE) -- NBC Securities, a leading independent full-service broker-dealer and registered investment advisor headquartered in Alabama, is pleased to announce ...

Identifying potential investors is one of the most difficult challenges facing early-stage companies. The range of amounts sought at this stage is typically greater than what could be provided by the ...

ANN ARBOR, Mich., Nov. 11, 2025 /PRNewswire/ -- Concorde announced today that licensed securities professional Ehud Gersten has joined the firm's broker-dealer, Concorde Investment Services. Gersten ...

NEW YORK--(BUSINESS WIRE)--Odeon Capital Group LLC (“Odeon”), a New York-based independent Broker-Dealer with trading, investment banking, and research services, has announced several key hires in the ...