The Financial Industry Regulatory Authority has barred a former UBS financial advisor accused of borrowing hundreds of thousands of dollars from customers, using some of their investments to pay his ...

The consumer watchdog, long in the crosshairs of President Donald Trump and billionaire tycoon Elon Musk, laid off between 1,400 and 1,500 staffers on Thursday, representing as much as 90% of the ...

Raymond James announced that it has launched a proprietary, artificial intelligence–powered search capability for its financial advisors. The capability leverages generative AI to enable advisors and ...

Worried about inflation and tariffs, the majority of U.S. retail investors have taken a bearish stance, according to a recent Morgan Stanley report.

An SEC spokesperson declined to comment. The ASA sued the SEC in June 2024, alleging that the regulator violated the Freedom of Information Act by denying multiple requests for records detailing how ...

The Financial Industry Regulatory Authority has barred an ex– Morgan Stanley financial advisor accused of accepting more than $120,000 in kickbacks from a customer's investments in new offerings.

Christa Carone, Gary Carrai, Brett Goodman, Scott Posner and Brent Simonich have been promoted from executive vice presidents to managing directors, LPL announced Tuesday. Current managing directors ...

"We're going to see where the president is" on the issue, Treasury Secretary Scott Bessent told Bloomberg during a trip to Argentina Monday at the U.S. ambassador's residence in Buenos Aires.

The firm currently has five investment programs: the Advisory Solutions mutual fund wrap program, the Guided Fund and Guided Flex rep-as-advisor programs, the FA Managed Solutions advisor-discretion ...

Eliezer Mishory, the former chief regulatory officer for derivatives exchange firm Kalshi who now heads the DOGE team at the SEC, requested access to staff emails, personnel data, contracts and ...

Estate planning startup Wealth.com says it is partnering with financial planning software bulwark eMoney Advisor to give Wealth.com's roughly 800 wealth management firms access to eMoney data and ...

Last month, Finra put out a call for comment for a "broad review" of its processes focusing on the "modern workplace," which in addition to rules applying to branch offices and remote work also ...