Financial advisors considering a change of employers may want to check their record before giving notice. Industry professionals say the path to finding a new firm is becoming increasingly difficult ...

The Securities and Exchange Commission has called into question the eligibility of two cryptocurrency exchange-traded funds offering staking rewards, according to Bloomberg.

The Financial Industry Regulatory Authority has sanctioned a Florida-based broker-dealer over alleged annuities-related violations of the Securities and Exchange Commission 's Regulation Best Interest ...

This story originally ran on Financial Advisor IQ sister publication FundFire. D.A. Davidson & Co. has lost a pair of financial advisors to Raymond James in Utah.

This story originally ran on Financial Advisor IQ sister publication FundFire.

Several industry associations are urging the head of the Department of Labor to continue fighting for its so-called fiduciary rule in the courts in the latest development of the 15-year-old saga.

The Financial Industry Regulatory Authority has suspended and fined a former Osaic Wealth broker accused of improperly handling a bequest from a customer's estate.

The Securities and Exchange Commission said it's charged a former financial advisor in Florida with fleecing dozens of clients, primarily Venezuelan nationals and including Catholic dioceses, out of ...

A version of this story originally ran on Deconstructed, a weekly newsletter from Financial Advisor IQ that breaks down news and perspectives on portfolio construction.

John Thiel may have long ago left his role as the head of wealth management at Merrill Lynch, but he is not done thinking about financial advisors.

Cetera Financial Group has named a former Envestnet executive to lead the RIA Blueprint suite of services for registered investment advisors. A trio of financial advisors have left Procyon to found ...

Cetera Financial Group has named a former Envestnet executive to lead the RIA Blueprint suite of services for registered investment advisors. A trio of financial advisors have left Procyon to found ...