Schlatter, a 36-year industry veteran, began his career in 1988 with Travelers Equities Sales, moved in 1991 to Cigna ...

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.

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 ...

Speaking in a Wall Street Journal interview Monday, Chief Executive Officer Salim Ramji listed technological innovation, along with Monday's historic fund fee cuts, as two recipients of the proceeds ...

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.

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 ...

Wells Fargo said on Tuesday that it has passed a major hurdle toward lifting the $1.95 trillion asset cap imposed on the bank ...

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 ...

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, ...

A U.S. Senate committee will look into claims that traditional lenders have refused service to certain political groups and types of customers in what's being termed "debanking," according to Reuters.