Regulators said Bradley Holts took $186,000 in client funds for things like adult websites and a divorce lawyer.

The U.S. Securities and Exchange Commission will reorganize 10 regional offices under broader geographic areas and decrease the number of people reporting directly to the agency’s enforcement director ...

Raymond James has recruited a former Merrill Lynch advisory team in Juneau, Alaska, that previously managed $740 million in client assets. The team who will be joining the broker-dealer’s employee ...

Goldman Sachs Group Inc. is expanding its private equity offering to wealthy individuals across Wall Street and beyond, in the latest sign of investment firms gradually broadening access to the much ...

The five-year yield declined as much as six basis points to 3.87% and is 10 basis points lower since Friday. Treasury yield across maturities were lower by similar amounts, approaching their 2025 lows ...

Osaic, formerly Advisor Group, has partnered with Zocks, an artificial intelligence platform, to provide its advisors with technology that will minimize some of their mundane tasks so they can spend ...

The dividends paid on REIT investments are generally exempt from federal corporate income taxes, but the tax advantages should not drive the investment, Schlisselfeld said. Instead the liquidity and ...

Gundlach, who predicted the 2008 housing crash, has been sounding the alarm on America’s $37 trillion deficit and crippling interest payments for years. He said he’s been doing a number of ...

Expired Patent The multi-share class model was pioneered and used exclusively by Vanguard Group for more than two decades before the patent expired in May 2023. Dimensional also applied to create ...

Many firms, including Goldman Sachs and Bank of America, expect volatility from Donald Trump's trade measures.

Donald Trump also promised to eliminate taxes on tips, overtime pay and Social Security benefits during his campaign.

David Burton, the senior fellow in economic policy at the Heritage Foundation who authored Project 2025’s section on securities regulation, says Finra’s oversight of the broker-dealer industry is ...