In June 2023, Romero filed an expungement request in the Financial Industry Regulatory Authority 's dispute-resolution system, alleging that the Form U5 disclosure was defamatory, a Finra filing shows ...

Wells Fargo, which recently removed references to diversity in its annual report, has also scrapped a diverse hiring policy, amid a rapid shift away from such initiatives since President Donald Trump ...

The move follows similar orders sent to non-union SEC staff: in a Jan. 24 memo, Johnson wrote that senior officers would need to be back at the office full time by Feb. 10, lower-level supervisors by ...

The Certified Financial Planner Board is urging financial professionals to tap the capabilities of generative artificial intelligence, keeping in mind their obligations as far as the sensitivity of ...

Ameriprise Financial's bid for a temporary restraining order against LPL Financial and an advisor team that defected has been denied. Ameriprise earlier this month filed a complai ...