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, who has been in the financial services industry since 2000, and Mandy Marie Haskell, who entered the industry in 2006, both joined Raymond James in January 2022 from Wells Fargo.

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

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 ...

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.

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 ...

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, ...

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 ...

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 ...

Vanguard in January agreed to pay more than $100 million to settle regulatory charges that it misled investors about capital gains taxes incurred in its funds. The firm last summer also warned it ...

J.P. Morgan acquired First Republic on May 1, 2023, after it was seized by regulators. Breslin joined General Catalyst on the same day and set about recruiting his former co-workers. It wasn't an ask, ...

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 ...