James Arthur McDonald Jr., formerly of Arcadia, California, agreed to plead guilty to one count of securities fraud in connection to a scheme that cost his victims between $2.8 million and $3 million, ...

The platform, Alts Connect, is powered by Subscribe, a financial technology company that describes itself as an alternative investments operating system. Alts Connect aims to streamline the ...

Milligan, similar to other former Merrill as well as Morgan Stanley advisors suing the wirehouses, claims that he was forced to forfeit more than half a million dollars he was owed in deferred ...

LPL Financial announced that it has added a business exit planning service for its advisors to support clients who are business founders and owners or chief executive officers.

The Crypto Assets and Cyber Unit had more than 50 lawyers and staff members at the start of the month, when reports emerged that SEC Acting Head Mark Uyeda, the crypto-friendly Republican Commissioner ...

An ex– Morgan Stanley field manager has sued the firm, alleging that she was subjected to discrimination across her 36 years with the wirehouse and its predecessor brokerages.

Citigroup will no longer require "diverse slates of candidates and diverse panels of interviewers" when it comes to hiring, making it the latest U.S. firm to pull back from diversity, equity and ...

Dynasty's latest addition is Chicago-based XXI Wealth, which includes Kurt Newsom, managing partner and wealth advisor; Matt Cavanaugh, managing partner and director of investments; and Client Service ...

The firm expected to pick up more business from Brazilians in light of adverse tax changes last year, but that didn't happen at first, Alexandre Zanuto, head of investment and advice for Brazil at J.P ...

In an era when data reigns supreme, asset managers view the ability to track how financial advisors engage with sales and marketing materials as table stakes. But after years of doubling down on ...

Musk was sued last month by the SEC in one of the final moves while it was still headed by Chair Gary Gensler, with the commission alleging that the billionaire's failure to disclose purchases of ...

The Tuesday 10-K filing marks Robinhood's first annual report that does not include a reference to "Inclusion, Equity and Belonging," or IEB, as part of the company's workplace-culture initiative ...