The U.S. Securities and Exchange Commission has accused a California advisor of violating securities law by selling $4.3 million worth of troubled fixed-income securities issued by a now bankrupt ...

When the surge in index futures exceeded gains in the underlying stocks on Friday, it imposed paper losses on some quants’ hedging positions, according to Liangkui Asset. When brokerages closed the ...

Financial professionals will use AI to invest and even communicate, but the human element will always be crucial.

The savior for investors has been the rally broadening beyond megacap tech. The S&P 500 Equal Weight Index is on pace to beat the regular market-cap weighted version of the benchmark in the third ...

JPMorgan Chase & Co. has been the best performing big bank stock since the Federal Reserve started hiking interest rates more than two years ago. But as the US central bank begins to unwind those ...

The Nasdaq 100 is currently projected to pay a dividend yield of around 0.8% over the next year, which compares with 1.4% for the S&P 500, data compiled by Bloomberg show. But investors — especially ...

A solid US jobs report at the end of the week could spur a rotation from the market’s most profitable names into stocks with weaker earnings, according to Goldman Sachs Group Inc. strategists.

In principle, Apollo’s agreement to provide bids for the private debt it sources would allow that portion to be deemed liquid. And the firm is separately involved in efforts to build out a trading ...

Creating a mandatory insurance requirement for advisors and broker-dealers tops the agenda of Adam Gana, the veteran New York City securities arbitration attorney who was elected to take the reins as ...

According to SEC filings, Creative Planning’s CEO and founder Peter Mallouk owns between 50% and 75% of the firm, which is believed to have several share classes of equity. The Kansas-based firm has ...

After a roughly 10-year renovation, that potential is now on full display in the house, which now covers 4,200 square feet (with an additional 1,200 square feet of exterior space). It has four ...

Transform Wealth has some $2.5 billion in AUM, according to its own Form ADV for 2024. The firm partnered with Focus Financial in 2016 and has absorbed other Focus acquisitions in Colorado, including ...