"We're going to see where the president is" on the issue, Treasury Secretary Scott Bessent told Bloomberg during a trip to Argentina Monday at the U.S. ambassador's residence in Buenos Aires.

Christa Carone, Gary Carrai, Brett Goodman, Scott Posner and Brent Simonich have been promoted from executive vice presidents to managing directors, LPL announced Tuesday. Current managing directors ...

The firm currently has five investment programs: the Advisory Solutions mutual fund wrap program, the Guided Fund and Guided Flex rep-as-advisor programs, the FA Managed Solutions advisor-discretion ...

Eliezer Mishory, the former chief regulatory officer for derivatives exchange firm Kalshi who now heads the DOGE team at the SEC, requested access to staff emails, personnel data, contracts and ...

Ameriprise last week sent a "Notice of Data Breach" to thousands of current LPL customers whose financial advisor switched to LPL from Ameriprise between 2018 and 2020, according to a complaint filed ...

Wedbush Securities has poached B. Riley's chief investment strategist following that firm's acquisition by Stifel Financial.

Merrill Lynch has been awarded a total of more than $1.3 million in a clawback action against one of its former financial advisors who jumped ship for Rockefeller Capital Management.

The Securities and Exchange Commission has refused to revisit settlements it reached with Raymond James, Ameriprise Financial and LPL Financial, among other firms, over their employees' use of ...

The Financial Industry Regulatory Authority has barred an ex– Morgan Stanley financial advisor accused of accepting more than $120,000 in kickbacks from a customer's investments in new offerings.

Estate planning startup Wealth.com says it is partnering with financial planning software bulwark eMoney Advisor to give Wealth.com's roughly 800 wealth management firms access to eMoney data and ...

Goldman also awarded punitive damages in the amount of $50,000, for a total award of $413,200, and she recommended expungement of the termination explanation in Becht's Form U5, shortening the entry ...

Wells Fargo 's wealth and investment management unit saw its earnings drop significantly from the last quarter of 2024 to the first quarter of this year, despite cost-cutting measures, but ...