Panelists in a discussion during an awards presentation for Prof. Ronald Rhoades discussed Reg BI's future under a Trump or a Biden administration, as well as whether FINRA should be disbanded.

Joseph D’Agostino joins Dynasty from WestEnd Advisors, an institutional asset manager.

Goldman Sachs has created a new consumer and wealth management division co-led by Stephanie Cohen.

Roger Nils-Jonas Karlsson was extradited to the United States from Thailand last year by the Department of Justice and is accused of targeting thousands of investors with a phony investment offering.

Envestnet | PMC, Envestnet's “advisor to the advisor," is adding Dana D'Auria to the leadership group.

The Hendrix Group, run by Brad Hendrix Sr., a former NFL offensive lineman, joins the broker-dealer and corporate RIA platforms at LPL Financial.

The SEC obtained a final judgment against Marcus Beam, who had set up shop as a Bali-based pornographer after being charged with investment fraud in the U.S.

The 27-person team -- one-quarter people of color, 30% women and most in their 20s -- includes those whose previous careers were as a cancer researcher, artificial intelligence expert, gaming engineer and even a sailboat captain.

Trump paid no income taxes in 10 of the past 15 years because he generated large losses that offset any money that he made, according to the Times analysis of at least two decades worth of Trump’s personal and business tax returns.

Flush with Silicon Valley cash, Vise is building out its executive and advisory teams.