The company's total leverage manageable. As of December 2024, Stifel had a 11.4% Tier 1 leverage ratio compared with management's previously stated target of 10%, implying that the firm is carrying ...

Stoever, Glass & Co. Inc., a New York-based broker-dealer located on Wall Street, has shut down after filing on Monday its ...

The SEC claims that DeRosa and One Oak breached their fiduciary duty by recommending the conversion of the accounts, by failing to properly disclose both the higher fees to the customers — who did not ...

Lower interest rates over the next several years will stifle net interest income growth. The company may have a greater opportunity to recruit advisors as it fills holes in its geographic footprint ...

FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight ...

Investing.com -- The Securities and Exchange Commission (SEC) has filed settled charges against New York-based One Oak Capital Management LLC and its former investment adviser representative, Michael ...

Spartan Capital Securities, LLC. NEW YORK, NY, Feb. 13, 2025 (GLOBE NEWSWIRE) -- Maurice Dacosta, an experienced financial executive with exte ...