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.