Adam Kaplan who, along with twin brother Daniel Kaplan, was charged in 2023 with 16 counts, including wire fraud and money laundering, is facing additional counts connected to allegations that he ...

Merrill, without admitting or denying Finra's allegations, last week agreed to a censure, to pay a fine of $275,000, and to certify within 180 days that the firm has taken appropriate remedial actions ...

Lorna Meyer has 47 years of experience and had been at Merrill since 2001, according to her BrokerCheck record. She first registered in 1977, at E. F. Hutton & Co., and she had stints at Drexel ...

That approval is likely — two of the SEC's current three commissioners — Acting Head Mark Uyeda and Republican Commissioner Hester Peirce, also known as "Crypto Mom" — have been vocal for years about ...

White males made up the entirety of Morgan Stanley's lineup to succeed former Chief Executive Officer James Gorman, though the company has several women in top jobs, including Chief Financial Officer ...

Generative AI will "significantly lower the threshold for market entry for startups, similar to what the digitalization and internet wave did decades ago," Martin Moeller, Microsoft's EMEA head of AI ...