The Financial Industry Regulatory Authority has fined and suspended a former Wells Fargo financial advisor who established a foundation allegedly funded with money left by a now-deceased client to a ...

The Securities and Exchange Commission 's Investor Advisory Committee last week signaled its willingness to open private market access to all investors — but with an added set of investor-protection ...

Democratic senators including Elizabeth Warren of Massachusetts are putting pressure on the Treasury Department over its move this summer to postpone last year's anti-money-laundering rule for ...

LPL Financial has lured a pair of financial advisors from Edward Jones. Raymond James announced that it has added a financial advisor from Morgan Stanley, where he had more than $120 million in client ...

LPL Financial has lured a pair of financial advisors from Edward Jones. Raymond James announced that it has added a financial advisor from Morgan Stanley, where he had more than $120 million in client ...

LPL Financial has lured a pair of financial advisors from Edward Jones. Raymond James announced that it has added a financial advisor from Morgan Stanley, where he had more than $120 million in client ...

UBS appears to be readying its pushback to the Swiss government's proposals to raise the firm's capitalization requirements, with the Zurich-based bank's chief financial officer emphasizing the ...

Morgan Stanley Wealth Management announced its 2026 advisor compensation plan on Thursday, telling its advisors that, among other enhancements, they will see more immediate pay instead of deferred ...

Waverly Advisors has expanded its presence in Ohio with the acquisition of a registered investment advisory firm with a focus on tax planning.

Finding Allies Sometimes, creating opportunities requires enlisting support. Samantha Garcia, senior wealth advisor at Halbert Hargrove, recalled how some clients preferred hearing the same ...

UBS became the first wirehouse to release its 2026 advisor compensation plan, but recruiters say the plan’s many perks may not be enough to stem advisor defections. UBS Wealth Management USA on ...

Wells Fargo has settled a lawsuit accusing the firm of conducting bogus job interviews to seemingly comply with its diverse hiring policies.