SEC commissioner, now Robinhood's chief legal officer, said he's "committed" to the firm's millions of customers.

Strive Asset Management, a financial services firm co-founded by anti-corporate “wokeness” entrepreneur Vivek Ramaswamy, ...

Leech was charged with investment advisor fraud and securities fraud, each of which carries a maximum sentence of 20 years in ...

Citigroup Inc. was preparing to declare its wealth business a key piece of the bank’s growth strategy, but behind the scenes ...

In fiscal year 2024, the SEC brought recordkeeping cases — including off-channel communications actions — resulting in more ...

Equity markets continue to show "remarkable strength," economist Jeremy Siegel said in his weekly commentary Monday, adding ...

FIDx executive Scott Bowers expects recent deals to greatly expand the platform's fee- and commission-based transaction ...

Bain Capital has officially closed its acquisition of Envestnet, with a final transaction value of $63.15 per share and a ...

Wells Fargo’s head of advisor recruiting and post-acquisition integrations, Brendan Krebs, has left the firm to be managing ...

Brenton Charles Schmidt signed the documents after his business partner signed for the customer, according to the regulator.

With a crypto-friendly commander-in-chief returning to the White House, Wall Street is ready to unleash a new generation of ...

CI Financial Corp., a diversified global asset and wealth manager based in Toronto, has entered into a definitive agreement with an affiliate of alternative asset manager Mubadala Capital to take CI ...