Steven Peiken, the new co-head of enforcment, held as much as $9 million worth of stock and William Hinman, the SEC's director of corporate finance, represented big banks and technology companies.

Dozens of tips over three years were passed from an ex-Bank of America consultant to his girlfriend's father.

How to start a newborn on the road to retirement, VanEck files for a bitcoin ETF, and eMoney opens a Rhode Island office.

Girard is the latest firm to deregister its broker/dealer and join a larger firm as an OSJ, shedding regulatory and operational burdens. The DOL rule was the tipping point. "I don't know how in the world we could have done it as a small firm."

The independent broker/dealer's 4,400 advisors are expected to make the transition to Fidelity's clearing platform in mid-2018.

This is Mercer’s eighth acquisition in the last 17 months.

The case offers a rare look at a type of dispute that’s typically handled privately in arbitration. The details speak to a fear among exiting brokers that banks may sully their records to impeach their credibility, justify a dismissal or retain...

Broker/dealer executives aren't comfortable with their firms' cybersecurity, Schwab survey finds everyday financial stress is a detriment to retirement planning, and Natixis' Managed Portfolio Advisors builds a flexible UMA platform for Securian...

The deal brings another 3,200 advisors to the nation’s largest independent broker/dealer, and it’s the latest in a trend of insurance firms exiting the b/d business.