InvestmentNews

Cetera adds $265M advisor team from Osaic in Chicago

Previously affiliated with Woodbury, the multi-generational team led by cousins Matthew and Christopher Callero are joining Cetera's tax and accounting specialist community.

BINAH Capital Group Welcomes Recently Acquired Commonwealth Team to its Broker-Dealer Platform Through its Long-Standing Strategic Relationship with Meri…

Chicago-Based, $1.2 Billion Team Will Use PKS Investments as its Friendly Broker-DealerNEW YORK, Dec. 03, 2025 (GLOBE ...
JD Supra

SEC Amends the Customer Protection Rule to Require Daily Reserve Formula Computations for Large Clearing/Carrying Broker-Dealers

On December 20, 2024, the Securities and Exchange Commission (SEC) issued a final rule amending SEC rules 15c3-3 (the customer protection rule) and 15c3-1 (the net capital rule). The SEC also amended ...
JD Supra

Broker-Dealer Liability Risks in Elder Financial Exploitation Cases

Despite limited regulatory requirements to intervene, broker-dealers face exposure to discipline and liability claims when elderly clients fall victim to financial exploitation. In an environment of ...