She made headlines when she became chairwoman in 2019, but quietly exited two years later when a marketing campaign created a conflict of interest.

New questions are being raised about the brokerage’s practices with the Intelligent Portfolios product.

The company received $15 million to build out a platform connecting clients to financial planning, investment management and tax professionals.

The compliance inquiry relates to past disclosures around the Intelligent Portfolios product.

The free trading app’s breakneck growth hurt the same small-time investors it sought to empower, FINRA says.

The robo advisor for socially conscious investors will benefit from becoming part of the largest U.S. bank, but "we also want to maintain the dynamic ... that made OpenInvest what it is," one of its co-founders says.

The penalty stems from lapses tied to a March 2020 outage and allegations that the fintech firm let thousands of clients trade options that might not have been appropriate for them.

The New York-based bank is broadening its offering to financial advisors, a key source of growth in the asset-management industry.

The newly formed unit comes just weeks after the CEOs of the six biggest U.S. banks were grilled by Congress over ties to cryptocurrencies.