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.

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 ...

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 ...

A Democratic Senator slammed President Donald Trump 's decision to grant wide access to Treasury Department data to tech tycoon Elon Musk and his Department of Government Efficiency team, saying the ...

Wells Fargo is moving closer to getting unshackled from the $1.95 trillion asset cap imposed on the bank following the 2016 fake-accounts scandal, recent reports suggest, and the fresh termination of ...

In UBS' 2025 advisor compensation plan, revealed in November, the wirehouse added and enhanced incentives for advisors who grow their business and who connect clients with banking capabilities, but it ...