Toss Securities appointed Richard J. Hagen as the local CEO of its subsidiary TSA Financial (TSAF) and began the process of ...

Donald M. Johnson, who pleaded guilty to a single count of broker-dealer registration violation and saw his probation revoked ...

Diversified Capital Management was previously with Cadaret Grant before it was bought by Atria Wealth (which was subsequently ...

Paul Hastings’ Brad Bondi, Ryan Swan, and Scott Gluck review the latest SEC examination priorities, which include artificial intelligence use and crypto-focused investment strategies and assets.

The rule change addresses situations in which a firm has ceased to exist, is nonoperational or no longer wishes to remain registered.

The new BofA rule doesn’t apply to sexual harassment and assault claims, which employees can still bring to court. The US has banned mandatory arbitration for those types of claims, as well as ...

Large brokerages with 500 or more registered representatives will be paying an additional $415,000 annually to FINRA under a ...

On October 21, 2024, the Division of Examinations (“EXAMS” or the “Division”) of the U.S. Securities and Exchange Commission ...

As the Securities and Exchange Commission (SEC) winds down the Biden era of regulation, Chairman Gary Gensler took a moment ...