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 ...

The Tuesday 10-K filing marks Robinhood's first annual report that does not include a reference to "Inclusion, Equity and Belonging," or IEB, as part of the company's workplace-culture initiative ...

The firm expected to pick up more business from Brazilians in light of adverse tax changes last year, but that didn't happen at first, Alexandre Zanuto, head of investment and advice for Brazil at J.P ...

Tech billionaire and efficiency tzar Elon Musk believes he can cut government fat by targeting fraud arising from deceased individuals taking up space on the database of the Social Security ...

In an era when data reigns supreme, asset managers view the ability to track how financial advisors engage with sales and marketing materials as table stakes. But after years of doubling down on ...

The advisors, Wichita, Kansas–based Shane Prill, Vance Garwood and Grant Garwood, have joined LPL's core platform, affiliating with the firm in a 1099 relationship and using a shared Form ADV. They ...

The company ended the year with $15.1 trillion in assets under administration, which amounted to a 20% increase from 2023, according to Fidelity's 2024 annual report, published Tuesday. Included in ...