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With the barred former rep in the Dominican Republic, a court filing asks a state judge to toss a FINRA panel’s decision absolving the firm of responsibility.

Vania May Bell has admitted to helping her father run a scheme that started in the late 1990s and ended in 2018.

The company reported revenue of about $4.7 billion for the three months ended in March, slightly below analyst estimates of about $4.8 billion for the period.

Kent Manderville has 700 NHL games and a silver medal on his resume. Find out why that made him perfect for a career in wealth management.

You can buy a share of Lamborghini now. Should you do it?

Skience’s Marc Butler shares four tips for broker-dealers that want to stay independent.

Once facing scrutiny for its relationship with a previous majority shareholder, the firm settled the regulator’s allegations about an issuer it called “Company A.”

Vanguard Group will give some American Express credit card customers access to financial advice, a business the fund manager is working to build up.

David Hu apologized to the firm’s investors and clients, as well as his wife and two children, before being sentenced.

Even if they dislike digital assets, wealth planners have a fiduciary duty to understand their confusing and murky tax treatment.