A former Wells Fargo Advisors branch manager in California has sued the firm and her former supervisor, alleging that Wells condoned a sexist work culture he created and fired her in retaliation when ...

"I respect Jamie Dimon, of JPMorgan Chase, greatly, but he will not be invited to be a part of the Trump Administration," the president-elect wrote on Thursday in a post on Truth Social, the social ...

This week, a Finra arbitration panel awarded LPL compensatory damages of $254,944.21, which included interest accrued through Nov. 7, plus interest at a daily rate of nearly $50 until the judgment is ...

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 ...

Dynasty Financial Partners announced the formal launch of Model Select, a program that helps Dynasty's affiliated advisors focus on growth by outsourcing some everyday tasks of investment management.

The disclosure comes as Morgan Stanley faces at least three putative class-action lawsuits over its sweep rates plus a fourth ...

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

Goldman Sachs is positioning itself to become a one-stop shop for ultra-wealthy clients by rolling out what it calls a "personal chief financial officer" service, The Wall Street Journal reports. The ...

Launched in 2016 in a purported bid to automate so-called "ethical investing" while offering "halal portfolio management" and ...

Sean Michael Kane allegedly impersonated clients to effect transactions in their Waddell & Reed accounts after the firm fired him. The Securities and Exchange Commission has barred a ...

ETFs generated $95.9 billion in flows in September, with active ETFs setting a monthly record, Cerulli Associates said in a ...

Axos Clearing has tapped advisor technology giant Envestnet to make its managed account offering available on the Axos ...