Securities

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would receive compensation for lending out their brokerage holdings.

Finance gurus see the coming 12 months as a time to dilute concentrations in cash and large firms' stock and consider emerging markets and small caps.

Amid industry crackdown, some say they are beginning to see a way forward for digital asset firms that want to stay on the right side of the law.

Brian McDonald, head of Morgan Stanley at Work, spoke with Financial Planning about how the firm aims to extend its roots in Silicon Valley and build on equity compensation offerings.

The Swiss banking giant will cover some 3,000 stocks and 18,000 bonds.

The strong market thus far in 2023 has some concerned about a possible sell off.

State regulators accused the wealth management giant of charging customers commissions of $75 or more for small equities transactions.

The principals at Legend Venture Partners stand accused of making millions by offering shares in pre-IPO companies without disclosing markups to investors.

Financial advisors say they can help combat the flow of misguided and misleading recommendations by posting more frequently and establishing more of a social media presence.

Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.