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 ...

JPMorgan Chase CEO Jamie Dimon, long a critic of remote work, didn't mince words about his attitude toward employees complaining about the company's recent moves to bring back everyone to the office ...

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 ...

An ex– Morgan Stanley field manager has sued the firm, alleging that she was subjected to discrimination across her 36 years with the wirehouse and its predecessor brokerages.