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The agency's staff has recommended filing an enforcement action against two Barclays bankers, according to records filed with FINRA.
June 29
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Elaine Ou is a blockchain engineer at Global Financial Access, a financial technology company in San Francisco. Previously she was a lecturer in the electrical and information engineering department at the University of Sydney.
June 29 -
Firms need to deliver value differently in a changing industry, a Fidelity study found.
June 29
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The boutique firm is looking to expand to new markets, says Ryan DeVore, the firm's head of Private Client Advisors.
June 28
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One step for clients is to avoid investing the money that they will need within a five-year period.
June 28
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The former Carmignac Gestion executive, who previously traded for Steve Cohen, says the tool will help run money for clients of his own firm, Q2Q Capital.
June 28
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Despite record AUM per adviser, fees and revenues slump.
June 28
