The team, which operated as the Timpe Wealth Management Group during its stint at Stifel, Nicolaus & Co., generates more than $1 million in annual production, according to a source familiar with the ...

The Biden-era regulation was designed in part to replace rules implemented during Trump's first administration that had made it easier for firms to designate workers as independent contractors. The ...

There is no conflict or breach of fiduciary duty unless the client can prove that the advisor or broker asserted undue influence on the customer, according to attorney Jenice Malecki, whose New ...

It is unclear who is the third member of the DOGE team at the SEC. The commission and the White House gave the same statements to Reuters about DOGE and the new SEC chair as they have in the past, ...

Jenni Yoon Jeong Lee targeted members of the Korean-American community, including her own family, the SEC alleges. The Securities and Exchange Commission has charged a Washington state woman with ...