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.

LPL Financial said it's reached a deal to acquire the privately held hybrid registered investment advisory behemoth Commonwealth Financial Network for around $2.7 billion in cash. Founded in 1979, ...

LPL Financial's acquisition of Commonwealth Financial Network has solidified its dominant position in an evolving space where independent broker-dealer firms are repositioning themselves to serve a ...

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 ...

Financial Advisor IQ is not publishing on April 18. We hope you enjoy your weekend!

LPL Financial is channeling restaurateur Will Guidara 's concept of "unreasonable hospitality" to elevate its service, said Chief Executive Officer Rich Steinmeier, charging an ever-expanding roster ...

Vanguard is joining forces with its longtime subadvisor Wellington and private equity giant Blackstone to develop multi-asset solutions blending public- and private-markets holdings with index ...

The CFPB, set up in 2010 in the wake of the 2008 financial crisis in large part to protect consumers from predatory financial practices, will slash inspections of financial services firms in half, ...

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 ...