The broker-dealer self-regulator also punished the firm for inaccurate and omitted conflict disclosures in research reports.
Vynntana allows for collaboration among stakeholders.
The London-based fintech received approval to become a licensed broker-dealer in the U.S. in June and is building an investing and savings app to manage all of its clients' finances under one roof.
Social Security's 1,200 field offices have been closed since March 2020 in response to the pandemic.
Firm is waiting for clarity on ETF rules, CFO Portney says.
Those who missed enrolling in the program when they were first eligible get a second chance during Medicare's general enrollment period, which runs from Jan. 1 through March 31 each year.
Ivan Acevedo pleaded guilty last summer to conspiracy to commit mail and wire fraud for his role in the $1.3 billion Woodbridge real estate scheme and is currently in federal custody, according to the SEC.
Walt Bettinger says financial firms should be taking their cues from Silicon Valley; he also discusses Schwab's move to Texas, crypto and remote work.
The theme of the broker-dealer self-regulator's agenda this year is protecting the retail investors who have surged into the financial markets, Finra CEO Robert Cook said during a webinar.
A third of people say they would quit rather than have to return to an office, a recent survey found.
'It’s really important to get the public feedback, but it’s also really important to move on,' the agency's chairman told a group of financial industry representatives.
Last year was an unusually productive one for Morgan Stanley and its close to 16,000 financial advisers, who brought in record net new assets for the year.
Eight of the 11 acquisitions Captrust did last year involved wealth management firms, a trend that Rush Benton says will continue.
Merrill Lynch, an industry bellwether, reports a host of new highs in 2021, ranging from revenue to assets and net new ultra-high-net-worth clients.
Ex-broker Perry Santillo also must pay $103 million in restitution.
The financial planning fintech will use the latest injection of capital to invest in its technology and product suite to upgrade its client experience.
OCC gives conditional banking license for online lender SoFi.
The products had net inflows of $23.9 billion, a significant increase from the $6.7 billion in outflows seen in 2020, according to a report from Morningstar.
The firm's purchase of Reilly Financial Advisors is another in a string of recent deals.
The investment bank shelled out an additional $4.4 billion in comp last year alone, for a total of more than $17.7 billion for the year, sending the bank to its only quarterly profit decline of 2021.
