Under a new Merrill Lynch plan, brokers will get raises or pay cuts depending on whether they grow their businesses.
The security industry's self-regulator found that the company inadequately supervised certain short-term trades.
Susan Schroeder has been the acting head of enforcement since February.
The regulator has flagged 90 firms as posing the highest risk to investors. But they won't publicly name them.
The biggest U.S. brokerage by head count told brokers Tuesday that it is standing down from the expensive recruitment wars.
The robo-advisor added heft to its board to get more big companies to sign on to its 401(k) plan.
The company continues its effort to lower fees in an increasingly low-fee world.
Twin brothers Jay and Neil Canell, and Justin Dembo, will operate under the name the Canell Group.
With about half of advisors over 55 years, the firm is looking to prepare for a flood of retirements.
Athletes are diverting more of their charitable dollars to sustainable, money-making impact investments.
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