Finance News
SEC Charges Laidlaw & Co. Reps With Excessive Trading, Violating Reg BI
The SEC also charged the firm with failing to adhere to policies and procedures designed to catch evidence of excessive trading in client accounts.
By NB
Nov 22, 2023
Tricia Rothschild Joins Private Equity Firm Advent International
Rothschild, a former Morningstar and Apex executive, joins the global PE firm as an operating partner to help identify opportunities in the wealthtech space.
By NB
Nov 22, 2023
Morgan Stanley Co-President Saperstein Diagnosed With Cancer
While his travel may be limited, Morgan Stanley Co-President Andy Saperstein says he plans to keep working during treatment.
By NB
Nov 22, 2023
Curi Buys Majority Stake in $9.6B RMB Capital
The national healthcare advisory firm will merge its wealth management business, Curi Capital, with RMB.
By NB
Nov 22, 2023