The SEC in 2020 proposed modernizing its marketing rule for investment advisors, including expanding the definition of ...

This is the fourth article of Financial Advisor IQ's five-part special report on the outlook for alternative investments in ...

An ex– Morgan Stanley financial advisor has been barred from the industry for failing to cooperate with a regulatory investigation of the circumstances surrounding his departure from the wirehouse.

Atkins, in his tenure as a commissioner from 2002 to 2008, voted against at least 10 enforcement actions — including a 2008 order against Citigroup, in defiance of agency chairs — the newswire found ...

Following the appointment of Glenfield in June, Citi Wealth hired Dawn Nordberg, a 25-year veteran of Morgan Stanley, to ...

Credit Suisse, now part of UBS, knew about Nazi-linked accounts but never shared that information with investigators in the 1990s probe that led to a restitution payment of more than $1 billion to ...

Morgan Stanley has recovered more than $7 million in a clawback case against a financial advisor who was barred from the industry after leaving the firm.

Ameriprise is far from alone in facing a lawsuit over its cash sweep rates: last year, suits were also filed against E*Trade and its parent company, Morgan Stanley, as well as Wells Fargo, Bank of ...

A Financial Industry Regulatory Authority arbitration panel has ordered Wells Fargo and one of its financial advisors to pay ...

The CFTC charged Gemini in 2022 with making false and misleading statements in 2017 related to a Bitcoin futures contract that it was trying to launch, Reuters wrote. Gemini has agreed to a permanent ...

After receiving overwhelming support on the Senate floor last month, the Social Security Fairness Act, which aims to restore ...

Dynasty Financial Partners announced that it has hired an executive from Raymond James to oversee advisor onboarding.