Brandon Glasscock and Mandy Marie Haskell decided to stay with Concurrent after the two companies split. Raymond James Financial Services has recovered hundreds of thousands of dollars in outstanding ...

In December, Tenreiro was promoted by "a top enforcement official" to serve as the SEC's head of litigation, the publication wrote.

Apex agreed to pay $3.2 million over alleged violation of rules related to the use of customers' securities, as well as communication, supervision and standards rules, without admitting or denying the ...

Securities and Exchange Commission lawyers may be shielded from some efforts by President Donald Trump 's administration to drastically shrink the government workforce, according to Reuters.

Tom Payant has been in the industry since 1977, when he registered with CG Equity Sales Co., according to his BrokerCheck record. He has also been registered with Travelers Equities Sales, American ...