The Securities and Exchange Commission continues winding down its caseload related to cryptocurrencies, most recently abandoning its case against Coinbase, the largest U.S. cryptocurrency exchange, ...

The firm has named Anand Subramanian and Ken Novak to leadership roles as it seeks to bolster its private market offerings for high-net-worth clients. Raymond James announced that it has added two ...

Morgan Stanley also recently removed language about DEI from its annual report, while Bank of America removed reference to diversity from its hiring objectives and stopped requiring hiring managers to ...

Amy Fox claims that she was fired a month after returning from maternity leave because she had asserted allegations of pregnancy-related discrimination by her supervisor. Wealth Enhancement Group is ...

Murray has been in the industry since 1993, when he registered with Lehman Brothers, according to his BrokerCheck record. He was registered with Citigroup Global Markets, UBS, Banc of America ...

Based on its ADV, each Ellevest account, on average, represents slightly more than $15,714. The average balance at Betterment is $45,900 per account, based on the ADV figures. Achieving and sustaining ...

Ameriprise earlier this month brought a complaint against LPL and an advisor team that left Ameriprise for LPL. Ameriprise Financial 's bid for a temporary restraining order against LPL Financial and ...

In June 2023, Romero filed an expungement request in the Financial Industry Regulatory Authority 's dispute-resolution system, alleging that the Form U5 disclosure was defamatory, a Finra filing shows ...

Wells Fargo, which recently removed references to diversity in its annual report, has also scrapped a diverse hiring policy, amid a rapid shift away from such initiatives since President Donald Trump ...

The Certified Financial Planner Board is urging financial professionals to tap the capabilities of generative artificial intelligence, keeping in mind their obligations as far as the sensitivity of ...

The move follows similar orders sent to non-union SEC staff: in a Jan. 24 memo, Johnson wrote that senior officers would need to be back at the office full time by Feb. 10, lower-level supervisors by ...

A senior official at the Securities and Exchange Commission asked enforcement staff in January to state that a case the unit was pursuing against Elon Musk was not fueled by politics — a request the ...