Practice

The agency is using alternatives to enforcement actions such as targeted exams, deficiency letters and a self-reporting initiative.

Focus turns to the SEC as it considers creating its own higher standard of client care.

Retirement investors who want to buy bitcoins in a self-directed IRA should ensure they are in control of their own private key.

The broker-dealer has been scooping up talent from its rivals for months.

Investors were bilked out of approximately $611,000, say federal prosecutors.

The newly merged practice became the seventh largest at the No. 18 IBD.

Fearing the broker would leave, Citi distorted incidents he had with two colleagues in order to fire him and take his $200 million book of business, the broker’s lawyer says.

The new location will initially have 200 employees, most of which will be in areas like technology and wealth management.

James Van Steenhuyse will oversee the firm's planned growth in the region.

Pinnacle Investments tapped Ami Forte despite her ongoing legal struggles with her former firm and Home Shopping Network founder Roy Speer’s estate.