Uyeda succeeds Gary Gensler at the helm of the commission, for which Trump named former SEC Commissioner Paul Atkins as its permanent chair.

Financial advisors will increasingly embrace alternative investments, but their choice of alts will change drastically, according to a recent report. Nearly 60% of advisors surveyed by FUSE Research, ...

Tifin AG's AI tools will allow advisors to spot growth opportunities as well as "at-risk" clients, Cetera says. Cetera Financial Group says it has partnered with wealthtech firm Tifin AG to give ...

Jason Brooks Head, 46, of Tuscaloosa, Alabama, agreed to plead guilty in September to bank embezzlement and to a bar by Finra ...

Advisors are expected to continue shifting more client assets into alternatives in 2025 and beyond but are increasingly ...

Merrill and Wells are facing a total of at least 11 lawsuits related to the interest rates in their cash sweep programs, and ...

Goldman has focused recent growth efforts on its alternatives and ultra-high-net-worth platforms, in pursuit of higher fees.

UBS has obtained the necessary authorization from the Department of Labor to continue overseeing $11 billion in U.S.

JPMorgan Chase 's wealth management business finished the year on a strong footing, helping the asset and wealth management ...

LPL, without admitting or denying the findings, agreed to pay a penalty of $18 million and to a censure and cease-and-desist ...

Citigroup 's wealth management unit had a "turning point" in 2024 as wealth head Andy Sieg has focused the unit on ...

Elevation Point announced that it has taken a minority stake in Northville, Michigan–based Stonebrook Private, a fee-only ...