Mike Santomassimo is replacing John Shrewsberry, who is retiring after six years as CFO and 22 years at Wells Fargo. He is the last eight senior executives who had their pay clawed back in 2017 to leave.
Advisor Daren Blonski always had to work harder than others to succeed in school and in life. In this episode, he recounts his experiences with dyslexia and how the challenges shaped him as a person.
Stephen Langlois will join Kestra after holding senior positions in Fidelity Investments and LPL Financial, and will report to Kestra Financial Inc. CEO James Poer.
Hester Peirce and Caroline Crenshaw appeared before a remote hearing of the Senate Committee on Banking, Housing, and Urban Affairs to discuss their concerns and ambitions for the commission's future.
Over the span of 12 years, Michael Barry Carter transferred about $6 million from brokerage and elderly investment advisory clients into his own bank account, the SEC claims.
Ross promises to use 'dope graphics' and jargon-free language in a video series he hopes will be integrated into classroom curricula across the country.
The Massachusetts commonwealth secretary’s Securities Division charged former NEXT Financial Group representative Charles Kulch with stuffing client accounts full of the high-risk, high-commission investments.
