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While five firms that trade on the NYSE's floor reportedly face SEC action, the Journal said on its Web site Friday that two firms,
Fleet offered the SEC something between $30 million and $50 million, while Bear Stearns-owned Bear Wagner Specialists LLC offered to pay $15 million, the paper said.
Neither firm would comment on the reports. Also facing SEC punishment for improper trades are, among others,
Amid a busy April for big hires, compliance tech provider COMPLY and wealthtech platform TIFIN have brought on industry vets Michael Stanton and Jeannette Kuda, respectively, aiming for strategic growth.
After a mixed quarter for the firm's wealth unit, CEO Ron Kruszewski predicted that the Fed may cut rates zero or just once or even hike them in 2024.
The U.S. Chamber of Commerce and other business groups contend the Federal Trade Commission has exceeded its authority in nullifying contracts that prohibit employees from switching jobs to competitors.
Retirement doesn't have to mean scrimping and saving. Here are five parts of the country where seniors are living large in their golden years.
Advisor360° names former MassMutual exec Mike Fanning as its new CEO
