Industry

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

The offering will either directly lend to businesses or invest in the credit of companies facing distress.

The new hires say they were drawn to the firm’s investment platform, product offerings and investment diversification.

The Advisor Group IBD added three new teams, but state regulators required enhanced oversight of one new recruit.

The bank is said to have been aware of the accusations for years.

Bill Capuzzi has had a first-hand view of wealth management’s disruption. He details the key innovations winners will bring to the industry.

Ad hoc or structured approaches can both work, but results depend on the amount of effort.

Short sellers tend to go against the tide, making investments based on a belief that a stock is going to tank. These 10 banks have drawn the greatest amount of short-interest activity recently.

Need a gut check on your career? Read what top recruiters have to say about the big and small firms in the industry.

Many clients want to leave an impact after they’re gone but don’t know how to go about it. Here’s how to approach the uncomfortable conversations.