When Donald Trump becomes president of the United States in January, the Securities and Exchange Commission is generally expected to ease its stance on crypto and environmental, social and governance ...

The Financial Industry Regulatory Authority has sanctioned another broker-dealer accused of violations related to investments in GPB Capital Holdings securities. Between November 2015 and April 2018, ...

The team's supervisor, Samuel Alt, a white man, told Pulido that Hallman "did not want to work alongside any 'Hispanics'" but otherwise "casually dismissed" Pulido's concerns regarding Hallman, ...

This story originally ran on Financial Advisor IQ sister publication Ignites. When brokers or financial advisors offer mutual funds and exchange-traded funds that are clones of one another, a recent ...

Osaic Services, known as SagePoint Financial from January 2009 to November 2023, allowed registered representatives without sufficient knowledge or experience with options trading to override trading ...

Wells Fargo’s bank-based advisors are capturing new assets through the firm’s Premier offering for affluent customers, Chief Financial Officer Mike Santomassimo said last week.

Advisor Susan VanSpybrook has poached at least six of her former clients since leaving J.P. Morgan, in violation of a restrictive covenant, the firm alleges in a lawsuit. November 11, 2024 J.P. Morgan ...

Morgan Stanley has suffered a legal setback fighting a multimillion-dollar deferred-compensation lawsuit brought by hundreds of its former financial advisors, according to news reports. Last week, ...

At the 2023 annual Financial Industry Regulatory Authority conference, Grewal noted the sweep on firms including Merrill Lynch, Morgan Stanley and UBS that up to that point had resulted in total fines ...

Bank of America is following its Wall Street peers in requiring its U.S. workers to settle almost all their legal disputes through arbitration, according to news reports. The policy goes into effect ...

Strive Enterprises, co-founded by one-time presidential hopeful Vivek Ramaswamy and touting "unapologetic capitalism," said ...

The Financial Industry Regulatory Authority has suspended and fined an LPL Financial advisor over an unapproved side business ...