Scott Mason, 66, of Gladwyne, Pennsylvania, was charged with wire fraud, securities fraud, investment adviser fraud and ...

President Donald Trump has named Vince Micone acting secretary of the Department of Labor, one of dozens of cabinet-level ...

New Charles Schwab Chief Executive Officer Rick Wurster touted the momentum of a "strong" 2024 and said on Tuesday that the ...

President Donald Trump 's newly appointed Securities and Exchange Commission acting chairman, Mark Uyeda, announced the ...

Tifin AG's AI tools will allow advisors to spot growth opportunities as well as "at-risk" clients, Cetera says. Cetera Financial Group says it has partnered with wealthtech firm Tifin AG to give ...

Uyeda succeeds Gary Gensler at the helm of the commission, for which Trump named former SEC Commissioner Paul Atkins as its permanent chair.

Financial advisors will increasingly embrace alternative investments, but their choice of alts will change drastically, according to a recent report. Nearly 60% of advisors surveyed by FUSE Research, ...

Edward Jones grew its advisor count by 5% in 2024 and has awarded profits interests to a larger pool of high performers, according to recent filings with the Securities and Exchange Commission. The ...

LPL, without admitting or denying the findings, agreed to pay a penalty of $18 million and to a censure and cease-and-desist ...

Merrill and Wells are facing a total of at least 11 lawsuits related to the interest rates in their cash sweep programs, and ...

Jason Brooks Head, 46, of Tuscaloosa, Alabama, agreed to plead guilty in September to bank embezzlement and to a bar by Finra ...

Elevation Point announced that it has taken a minority stake in Northville, Michigan–based Stonebrook Private, a fee-only ...