The U.S. Court of Appeals for the District of Columbia Circuit ruled Friday that Finra may lack the necessary authority to kick out firms for misconduct in an expedited matter without first seeking ...

The Securities and Exchange Commission levied $8.2 billion in fines and investor reimbursements in fiscal year 2024 to reach an all-time high, Bloomberg reports. The rise in penalties came even as the ...

Brendan Krebs, who was named Wells’ head of advisor recruiting in January, has left to boost advisor development at PNC’s newly rebranded wealth division, according to sources. Wells Fargo Advisors ' ...

Likewise, UBS' 2025 advisor compensation plan offers enhancements for advisors who connect clients with banking capabilities.

The Securities and Exchange Commission has delivered on its commitment to have firms admit guilt more frequently in the ...

The Securities and Exchange Commission's Jaime Lizárraga is resigning as a commissioner effective Jan. 17 as his wife battles a "serious" illness, he said in a statement Friday. Lizárraga, who was ...

Securities and Exchange Commission Chairman Gary Gensler is stepping down as head of the agency on Jan. 20 — the day ...

The Guided Wealth Portfolios program is available through LPL's web-based portal, which is intended to be accessed by clients ...

New York City maintains its position as the center of the U.S. securities industry, but cost pressures and shifting work patterns have eroded its share of the industry’s head count.

Last December, Kaival Patel, 55, of West New York, New Jersey, was found guilty of a single count of conspiracy to commit wire fraud and health care fraud, four counts of health care fraud, one count ...

Trump has vowed to cut taxes and regulations but has yet to name his pick for chair of the SEC, according to Reuters. The president-elect said in June that he would sack Chair Gary Gensler immediately ...

Wilson is no longer the contrarian he once was: On Monday, Goldman Sachs wrote in a note that it too sees the S&P 500 going to 6,500 by the end of next year, according to Reuters. A note issued the ...