JPMorgan Loses FA with $550M to RayJay ...

A large Wells Fargo Advisors team has pulled away from the wirehouse's independent Financial Network channel to launch its own registered investment advisory firm.

The Securities and Exchange Commission's ever-dwindling commissioner ranks may soon be down to two, as Republican Commissioner Hester Peirce appears set to begin another job in November, roughly the ...

Advisors with business-owner clients are enhancing the value of the service they provide by helping those clients reevaluate the benefits they offer employees, with an eye toward adding and retaining ...

UBS FA with $480M Skips to RayJay ...

The Swiss government has again signaled that it will insist on more stringent capital requirements for UBS, despite the bank's opposition, according to news reports.

Edward Jones, which five years ago paid $34 million to settle a lawsuit alleging that the firm discriminates against Black financial advisors, has been hit with another such suit.

Cetera said it has lured back a New York–based financial advisor after less than 30 days at rival LPL Financial, from where he had joined Cetera in the first place seven years a ...

Advisor-Managed Crypto Hits a Ceiling, Even After ETF Boost ...

Kestra Financial's Bluespring Wealth has acquired another Kestra-affiliated registered investment advisory firm.

Cetera said it has lured back a New York–based financial advisor after less than 30 days at rival LPL Financial, from where he had joined Cetera in the first place seven years a ...

An unexpected telephone call from the Financial Industry Regulatory Authority's examinations unit can be a nerve-wracking moment for a compliance officer, but the opportunity to talk with the ...