Seruya's financial services career dates to 1983, when he registered at Halpert, Oberst & Co., according to BrokerCheck. He left for Bevill, Bresler & Schulman Inc. in 1984, joined Bear Stearns & Co., ...

"Given the importance of the SEC, we are concerned by recent reports regarding the Trump Administration's efforts to shrink the agency in the name of government efficiency," Warren, who is Ranking ...

The SEC told its employees that it's beginning to onboard DOGE staff, who will be given SEC-level access to its network and data, Reuters reported, citing an internal email. The commission is also ...

Alcohol-related criminal charges and bankruptcies both show up regularly in sanctions CFP Board imposes on current holders of the designation, with varying degrees of severity, ranging from public ...

LPL Financial said it's reached a deal to acquire the privately held hybrid registered investment advisory behemoth Commonwealth Financial Network for around $2.7 billion in cash.

Following hundreds of staffers leaving the SEC in the past few weeks as part of Trump's efforts to trim federal spending, Atkins told lawmakers on the Senate Banking Committee on Thursday that he ...

Private equity's appetite for wealth managers drove the total transacted assets under management past $1 trillion for the first time in a single year.

The Financial Industry Regulatory Authority has barred an ex– LPL Financial advisor accused of soliciting nearly $11 million in unapproved outside investments.

Paul Atkins, President Donald Trump 's nominee to lead the Securities and Exchange Commission, has disclosed a combined net worth with his spouse of at least $327 million, Bloomberg reports. If ...

As of the end of 2024, the firm's advisor ranks were 10% people of color and 24% women, according to the firm's latest annual purpose, inclusion and citizenship report. That compares to 9.6% people of ...

After several years of staying on top of the latest technological developments in finance and new approaches to enforcement, the Securities and Exchange Commission seems poised to return to its ...

Marat Likhtenstein, of Sheepshead Bay, Brooklyn, was arraigned Monday on an indictment and charged with fleecing 10 victims out of close to $1.24 million by peddling promissory notes in a Ponzi scheme ...