Morgan Stanley also recently removed language about DEI from its annual report, while Bank of America removed reference to diversity from its hiring objectives and stopped requiring hiring managers to ...

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 ...

The firm has named Anand Subramanian and Ken Novak to leadership roles as it seeks to bolster its private market offerings for high-net-worth clients. Raymond James announced that it has added two ...

Ameriprise earlier this month brought a complaint against LPL and an advisor team that left Ameriprise for LPL. Ameriprise Financial 's bid for a temporary restraining order against LPL Financial and ...

Amy Fox claims that she was fired a month after returning from maternity leave because she had asserted allegations of pregnancy-related discrimination by her supervisor. Wealth Enhancement Group is ...

Meanwhile, the latest report said that Wells' U.S. workforce was 54% female and 48% racially/ethnically diverse. It was 55% female and 47% racially/ethnically diverse at the end of 2023, according to ...

SmartAsset estimates that the average 55-year-old client, assuming a 1% asset-based fee, would over their remaining lifetime yield advisory fees to the tune of between roughly $150,000 — for those ...

Uyeda was named acting SEC chairman on Jan. 20 while former commissioner Paul Atkins — Trump's official nominee for the role — awaits Senate confirmation. On Monday, Uyeda pledged to return the SEC to ...

Meanwhile, consumer outlook across all groups, despite being still roughly neutral, "is in slow decline," falling in February for a third month in a row to 99.8 points, with 100 being neutral, down ...

The platform, Alts Connect, is powered by Subscribe, a financial technology company that describes itself as an alternative investments operating system. Alts Connect aims to streamline the ...