Two groups sometimes at odds with Finra over how best to protect investors are backing the regulator against a lawsuit that questions its constitutionality. The Financial Industry Regulatory Authority Inc. is defending itself against a claim brought by Alpine Securities Corp., a firm Finra expell Learn more about reprints and licensing...
Check out the companies making headlines in extended trading. Tripadvisor — The online travel agency added nearly 12% after beating on the top and bottom line in the third quarter. Tripadvisor reported adjusted earnings of 52 cents per share on $533 million in revenue, while analysts polled by LSEG...
Robert W. Baird & Co. Inc. and the Financial Industry Regulatory Authority Inc. said Monday that they had reached a settlement in which Baird pays clients close to $520,000 in restitution for the firm’s failure over a six-year period to give clients certain sales charge waivers and fee rebates...
A team of advisors who managed $225 million in client assets at United Planners Financial Services has joined LPL Financial’s broker-dealer, RIA and custodial platforms, the firm announced Monday. GER Loftin Wealth Advisors is based in Johns Creek, Georgia, and led by James Loftin, an Air Force veteran, and George...
A worker organizes cans of PepsiCo Inc. soda on a shelf inside a grocery store in Phoenix, Arizona, U.S., on Thursday, July 6, 2017. PepsiCo Inc. is scheduled to release earnings figures on July 11. Photographer: Caitlin O'Hara/Bloomberg via Getty ImagesBloomberg | Bloomberg | Getty ImagesIf you listen to...
Fenway Sports Group Chairman Tom Werner on Monday acknowledged that the company has held talks with the PGA Tour as the golf organization's framework agreement with Saudi-backed LIV Golf faces new doubts."We confirm that we've had conversations," Werner told CNBC's Scott Wapner during "Halftime Report." He declined to...
Check out the companies making headlines in midday trading. Hilton Grand Vacations — The stock declined roughly 7% after the lodging company said it would acquire Bluegreen Vacations for about $1.5 billion . Hilton Grand Vacations also posted its third-quarter results, posting revenue of $1.02 billion, down from $1.12...
As the famous quote goes, nothing is certain in life except death and taxes. Carolyn McClanahan, founder of Life Planning Partners, knows both intimately, having started out as an emergency room physician. “Now, nothing seems as challenging as that,” she says. That’s not to say, of course, that death never...
