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, ...

Wealthtech giant Orion has reached an agreement to acquire advisor technology provider Summit Wealth Systems. Summit, launched in 2019, offers consolidated client reporting and portfolio management to ...

Merrill Lynch has agreed to pay $4.9 million to settle a complaint accusing the wirehouse of failing to pay overtime to advisors and trainees in its Consumer Investments unit, according to news ...

The North American Securities Administrators Association announced that Edward Jones has agreed to pay $17 million to settle allegations of failing to properly supervise mutual fund commissions it ...

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 ...