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.

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

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.

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 ...

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, ...

Fidelity Brokerage Services is facing an arbitration claim alleging that the firm failed to protect investors from an investment advisor's high-risk, loss-generating trading despite numerous red flags ...

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

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 ...

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 ...

Headed by former Morgan Stanley Wealth Management and Merrill Lynch Wealth Management President Greg Fleming, Rockefeller has ...