Charles R. Schwab, founder and chairman of the eponymous wealth manager, contributed $500,000 to the committee. His wife Helen Schwab and son Charles Schwab Jr. each chipped in half a million as well, ...

Cryptocurrency exchange Coinbase, against which the Securities and Exchange Commission recently dropped its case, is now facing a lawsuit from the Oregon Attorney General, who says such state actions ...

Finra will also expand its activities related to cybersecurity and fraud prevention in light of "a proliferation of new threat actors, more sophisticated technology-enabled methods, and an ...

Echelon Partners counted 118 first-quarter deals involving RIAs or advisors with more than $100 million in assets. Despite uncertainty in the broader economy, the registered investment advisory space ...

Pure Financial's latest addition is Fairhaven Wealth Management, which was founded a decade ago and now manages $783.1 million in regulatory assets under management and $98.8 million in assets under ...

Morgan Stanley acquired E*Trade in 2020 for $13 billion in a push for retail investors led by then–Chief Executive Officer James Gorman, a strategy his successor Ted Pick, who took over Jan. 1, 2024, ...

Biss entered the industry in 1998 with Edward Jones, according to his BrokerCheck profile. Biss is the second announced hire by Raymond James in Alaska this month. The firm said it had lured a $740 ...

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 ...