Jim Nagengast, former president and chief executive officer of Osaic subsidiary Securities America, has filed a lawsuit against the parent company over the terms of his departure in January last year.

Epinger entered the industry in 1989, when he registered with Travelers Equities Sales, and he has also been registered with PaineWebber, Citigroup, Morgan Stanley, Hightower Advisors, J.P. Morgan, ...

DOGE has now asked the agency's employees to send "ideas for how the SEC can be more efficient and effective in meeting its mission," agency Chief Operating Officer Ken Johnson told staff in an email ...

While younger generations have been rewarded for taking risks and being more aggressive in the past 10 to 15 years, favorable market conditions and results might have created an unrealistic view of ...

The Office of Information and Regulatory Affairs has directed the agencies to comply, starting Monday, with the executive order Trump issued in February, the news service wrote, citing a Thursday memo ...

Private equity shop Constellation Wealth Capital has made an investment in the $8 billion registered investment advisor Procyon Partners.

The Financial Industry Regulatory Authority has barred a former UBS financial advisor accused of borrowing hundreds of thousands of dollars from customers, using some of their investments to pay his ...

The consumer watchdog, long in the crosshairs of President Donald Trump and billionaire tycoon Elon Musk, laid off between 1,400 and 1,500 staffers on Thursday, representing as much as 90% of the ...

Raymond James announced that it has launched a proprietary, artificial intelligence–powered search capability for its financial advisors. The capability leverages generative AI to enable advisors and ...

Worried about inflation and tariffs, the majority of U.S. retail investors have taken a bearish stance, according to a recent Morgan Stanley report.

LPL Financial said it's reached a deal to acquire the privately held hybrid registered investment advisory behemoth Commonwealth Financial Network for around $2.7 billion in cash. Founded in 1979, ...

LPL Financial's acquisition of Commonwealth Financial Network has solidified its dominant position in an evolving space where independent broker-dealer firms are repositioning themselves to serve a ...