Ms. Lee, who has worked as an SEC enforcement attorney, would replace her former boss, Kara Stein.
Harry Buchanan Smith and team joins firm in Charlotte, N.C.
Westminster Financial Securities said to be reneging on agreement to pay elder client, including for a $200,000 bronze bear purportedly purchased from a broker's mother.
Texas adviser embroiled in Seth Rich lawsuit says false charges cost him professionally and personally.
Demonstrating your thoughtful approach to areas of investor concern — and the steps you're taking to address them — will pay dividends in trust and client retention.
Best practices, such as building confidence and seeking out mentors, can bolster the professional journey of people from any community in the minority in a particular industry.
Benefits lost to excess earnings are restored at full retirement age.
Observers say the proposal could open up areas of arbitrage, depending on how it's drafted.
A new report from Pew recommends the U.S. look internationally to improve fintech regulations.
The firm is one of the last holdouts to launch CITs, signaling increased demand for the investment vehicle.
In comment letter, Investment Adviser Association criticizes SEC advice rule for net capital, account statement and licensing requirements.
Four main changes should be made before a final rule is issued
Action concludes settlement in case of improper stock-loan revenue actions.
Examiners question brokerages about fees, financing and initial coin offerings, in addition to data on investment advisers' involvement.
Gilbert Fluetsch is alleged to have spent customers' investment funds mostly on unrelated business and personal expenses.
It may be easy to dismiss ESG as a fleeting investment idea, but people thought the same about target-date funds in the '90s.
But the agency's proposal does not require brokers to be fiduciaries for clients, instead establishing an undefined "best interest" rule.
Fiduciary advisers should be weighing the risks and upsides of securities lending.
Ex-audit department employee says she brought concerns to Finra and then was let go days later.
Investigation focused on the creation and sale of loans contributing to the 2008 financial crisis.
