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Regulators accused the online brokerage of failing to accurately report trades, comply with short selling rules and maintain proper books and records, among other things.

Two brokers had sought an unspecified amount that they argued they were owed from when they worked at the Wall Street giant before departing for rival firms.

Lawsuits before the Supreme Court and in lower federal courts across the country could further reduce enforcement powers at the IRS and the SEC this year.

Morgan Stanley veteran Mandell Crawley takes on new role as chief client officer of a new unit aimed at driving commercial outcomes.

The firm says a summer intern who was turned down for a full-time position sent harassing messages that led it to close its Atlanta office for two days in January.

When he's not preparing to climb the world's highest mountains and run the major marathons, Joe McQuaid, managing director of platform solutions and advisor experience, ensures Concurrent Investment Advisors' tech stack has stamina.

Kristiana Daniels is a financial advisor with Fiduciary Financial Advisors, an independent financial planning and wealth management firm.

By advocating for her clients and leveraging creative solutions, she designs tax-efficient financial plans that pave the way for lasting success. Daniels is a certified financial planner professional and an IRS enrolled agent.

Kraig Kleeman is the founder & CEO of The New Workforce.

The mega bank says more than half of its roughly 300,000 are already back in the office every day of the work week.