The Financial Industry Regulatory Authority Inc. said Tuesday it sanctioned Aegis Capital Corp. $2.75 million for churning, or excessive trading in client accounts, from 2014 to 2018. Aegis Capital, which is based in New York and has 300 retail registered ...

With the bulk of Merrill Lynch financial advisers on their way to their best years ever producing revenues, management has yet again adopted an outlook on compensation and pay that could be summed up with the saying, “If it ain’t ...