Two former Osaic advisors and the Wells Fargo-affiliated wealth management firm they joined have lost a bid to derail most of a lawsuit accusing them of taking more than 140 client accounts and ...

A former NYLife Securities representative, Jacob Spencer, has been barred from the industry for allegedly cheating on a Series 6 exam by using internet-enabled eyeglasses, according to Finra documents ...

Bonds of Sammons Financial Group fell to the lowest since they were issued in June after a report probed the life insurer’s connections to Mark Walter’s Guggenheim Partners. The company’s bonds due in ...

The hottest buy of the summer is a $10 gift card to Dunkin’. It’s not that the coffee and donut chain’s iced lattes have suddenly become more popular. It’s really thanks to a marketing campaign backed ...

Jefferies Financial Group Inc. has been told that some of the invoices underpinning its financing to an iron ore trader called Sapphire Minmetals Corp. are not genuine, according to people familiar ...

A high-ranking Forbes editor was fired last week for taking a $6 million gift from the founder of a firm that partners with the magazine on its advisor awards and rankings, according to published ...

BlackRock Inc.’s troubled private credit fund is selling nearly half of its loan portfolio to a vehicle backed by secondaries specialist Pantheon, in its most aggressive step to tackle longstanding ...

As U.S. employers brace for the largest price hikes on employee health plans in 15 years, a growing number are opting out of group insurance altogether. Instead of providing medical benefits directly, ...

Two former Rochester, N.Y., brokers, imprisoned in connection with a decade-long nationwide Ponzi scheme that duped hundreds of investors out of more than $115 million, have agreed to be barred from ...

In the eye of the private credit storm, outlooks called for the $1.8 trillion market to either bring about the next financial crisis or for the pressure to quickly peter out. Nearly half a year later, ...