The Securities and Exchange Commission has denied an appeal brought by a Texas-based financial advisor over sanctions imposed on him in connection to trading and dispersals in a deceased client's ...

Securities and Exchange Commission Chair Paul Atkins continued distancing himself from his Biden-era predecessor on the topic of crypto and its related technologies during prepared remarks for a ...

Registered investment advisory firms are at the head of the pack when it comes to integrating artificial intelligence into their wealth management operations, while the banking sector of the industry ...

An ex– Edward Jones financial advisor can finally clear his record of a defamatory Form U5 disclosure from a dozen years ago, a Financial Industry Regulatory Authority arbitrator ruled last week.

A Financial Industry Regulatory Authority arbitration panel has ruled in favor of Ameriprise Financial in a claim the company brought against one of its veteran advisors who left to found his own ...

President Donald Trump 's nominee to serve as the head of the Department of Labor 's retirement unit told lawmakers that he would drastically change tack if confirmed.

A version of this story ran Friday as breaking news on Financial Advisor IQ.

A Santa Fe, New Mexico–based registered investment advisory firm and its owner are in hot water over alleged failures to keep their fees below 2% of their clients' assets under management, as they had ...

LPL Financial has lifted a team of financial advisors from L.M. Kohn & Co. An LPL Financial advisor has left the firm after 11 years to join Raymond James.

UBS has been ordered to pay $1 million to a financial advisor the firm fired months after he executed almost $500,000 in unauthorized trades in a customer's account.

Wells Fargo has cleared the last hurdle imposed on it by regulators over the past decade, largely in connection with the firm's infamous bogus accounts scandal.

New restrictions expected to be proposed in Switzerland this week may undermine the efforts of Swiss-based UBS to expand its footprint in the United States, according to news reports.