The platform, Alts Connect, is powered by Subscribe, a financial technology company that describes itself as an alternative investments operating system. Alts Connect aims to streamline the ...

James Arthur McDonald Jr., formerly of Arcadia, California, agreed to plead guilty to one count of securities fraud in connection to a scheme that cost his victims between $2.8 million and $3 million, ...

Milligan, similar to other former Merrill as well as Morgan Stanley advisors suing the wirehouses, claims that he was forced to forfeit more than half a million dollars he was owed in deferred ...

The Crypto Assets and Cyber Unit had more than 50 lawyers and staff members at the start of the month, when reports emerged that SEC Acting Head Mark Uyeda, the crypto-friendly Republican Commissioner ...

Citigroup will no longer require "diverse slates of candidates and diverse panels of interviewers" when it comes to hiring, making it the latest U.S. firm to pull back from diversity, equity and ...

Dynasty's latest addition is Chicago-based XXI Wealth, which includes Kurt Newsom, managing partner and wealth advisor; Matt Cavanaugh, managing partner and director of investments; and Client Service ...