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 ...

Consultancy McKinsey & Co. is undertaking a strategic review of its $23 billion in-house asset manager MIO Partners, which could lead to a spin-off of the business, the Financial Times reports.

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 ...

UBS strategists, led by Solita Marcelli, the chief investment officer Americas for UBS Global Wealth Management, recommended that advisors and investors diversify with high-grade bonds while using ...

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, ...

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 ...

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 ...