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

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.

The Securities and Exchange Commission has barred and fined a former Kestra financial advisor for failing to protect his clients' assets after selling their accounts to an alleged fraudster.

A Financial Industry Regulatory Authority arbitration panel has ordered J.P. Morgan to pay more than $4.25 million to a financial advisor who claimed that the firm wrongfully terminated him and later ...

LPL Financial announced that it has added a financial advisor team that oversaw $815 million at Northwestern Mutual.

Osaic has broadened its partnership with fintech firm Envestnet.

A former California-based broker has pleaded guilty to running a 25-year Ponzi scheme that cost his victims millions of dollars.

A Financial Industry Regulatory Authority arbitration panel has ruled in favor of Ameriprise in a clawback case but also granted an expungement request from the financial advisor involved.

May 26, 2026 - (article) SEC Bars Ex-FA Who Didn't Watch Out for Clients After Selling Practice May 26, 2026 - (article) Former Broker Pleads Guilty to $9.8M Ponzi Scheme May 26, 2026 - (article) ...