Apex agreed to pay $3.2 million over alleged violation of rules related to the use of customers' securities, as well as communication, supervision and standards rules, without admitting or denying the ...

Brandon Glasscock and Mandy Marie Haskell decided to stay with Concurrent after the two companies split. Raymond James Financial Services has recovered hundreds of thousands of dollars in outstanding ...

In December, Tenreiro was promoted by "a top enforcement official" to serve as the SEC's head of litigation, the publication wrote.

Securities and Exchange Commission lawyers may be shielded from some efforts by President Donald Trump 's administration to drastically shrink the government workforce, according to Reuters.

Schlatter, a 36-year industry veteran, began his career in 1988 with Travelers Equities Sales, moved in 1991 to Cigna ...

Tom Payant has been in the industry since 1977, when he registered with CG Equity Sales Co., according to his BrokerCheck record. He has also been registered with Travelers Equities Sales, American ...

Founded in 1985 and majority-owned by private equity shops Oak Hill Capital, Genstar Capital and Altas Partners, Denver-based Mercer says it had more than 1,220 employees managing a total of $69 ...

Tuckner said he doesn't expect the changes to have an immediate effect on the U.S. wealth unit's profitability, but that improvement should be evident next year and that the unit's profit margin, ...

During the Senate Banking Committee on so-called "debanking" allegations made against U.S. lenders, the two parties agreed that there's discrimination in lending — just not against whom or what to do ...

Patrick Mahoney, the chief executive officer of the Financial Planning Association, died Feb. 1 after a yearslong bout with cancer, the organization announced Tuesday. He was 62, according to an ...

Wells Fargo said on Tuesday that it has passed a major hurdle toward lifting the $1.95 trillion asset cap imposed on the bank ...

Trump's executive order directed the Treasury and Commerce departments to file a wealth fund plan within 90 days, including "funding mechanisms, investment strategies, fund structure and a governance ...