Wells Fargo faces a lawsuit claiming that the firm failed to stop the perpetrators of an alleged $300 million Ponzi scheme ...

Summit Financial Holdings announced it has added an advisory team from UBS, where they oversaw more than $370 million in ...

As the wealth management industry matures, the most successful registered investment advisor firms will be the ones that ...

Wells Fargo faces a lawsuit claiming that the firm failed to stop the perpetrators of an alleged $300 million Ponzi scheme ...

Stifel Financial is the latest wealth management practice to partner with fintech firm Pontera to help its financial advisors ...

Salim Ramji tells The Financial Times and Barron’s that he plans to follow the course set out prior to his arrival. May 16, ...

Many family offices have a long way to go to address serious gaps in risk management, according to a new report. Although the ...

Morningstar estimates that the rule could save retirement plan participants a total of $55 billion in fees over the next 10 years. And those savings would jump to $130 billion over the subsequent 10 ...

The Financial Industry Regulatory Authority has fined and suspended a financial advisor accused of using an unapproved messaging application and concealing from his former firm a loan from one client ...

FA-IQ: The number of active ETFs on the market exploded after the so-called ETF Rule of 2019 and continues to climb. That means many of the products on the market are relatively new. What kind of ...

The Securities and Exchange Commission says it has ordered a New York–based registered investment advisory firm and its founder to pay a combined $950,000 for failing to disclose conflicts related to ...

“The SEC is not a big fan of remote examinations,” said Eric Noll, chair of Finra’s board of governors. May 15, 2024 The Financial Industry Regulatory Authority has given its member firms a clear ...