Organization Root Tag

The two Black financial advisors dropped their case, but constant litigation in the industry spotlights questions over firms' pledges to change.

Advisor Group, Ameriprise, Cetera, Commonwealth, LPL and Raymond James are getting bigger and streamlining a crowded field of business as they go.

40 critical regulations, court decisions, laws, IRS proposals and other major changes to the tax landscape from the past 12 months.

After helping to build up the largest IBD over more than a dozen years each with the firm, they've landed in recruiting and financial advisor support roles.

As Republicans threaten cuts to Social Security and Medicare, Assistant Secretary Ben Harris says reducing benefits would cause "undue suffering."

If the program ultimately moves forward, tax professionals should know about the rules when advising their clients.

Unlike stocks, digital currencies aren't hit by the wash-sale rule — a major opportunity to turn lemons into lemonade.

The incoming recruits from midsize rival LaSalle St. come as the top IBD sets headcount records and acquires the $40-billion asset Financial Resources Group.

Lawyers see many reasons for concern when discussing the asset class with investors, but not enough to avoid talking about it and learning about it.

A retired dentist won a huge FINRA arbitration award after accusing his best friend and longtime broker of trading in tech stocks without his consent.

Bonds are back for high net worth investors.

The giant investment bank announced cuts across the board, but its reported sparing of financial advisors suggests that wealth careers may be recession-proof in 2023.

Super-rich investors find energy the most attractive of all investment categories.

Bradley Goodbred allegedly defrauded a widow in her 90s through a real estate investment scheme, the latest example of a rising number of scams targeting seniors.

A recent study has found a correlation between tax scrutiny of digital assets and the use of tax loss harvesting as a compensating measure.

FINRA accused FSC, Royal Alliance, SagePoint and Woodbury of "negligently omitting material facts" about an alternative asset manager, FINRA said.

The joint project with one of the largest advisory practices in the firm's tax-focused brokerage displays how wealth management firms are backing their OSJs.

After joining the Swiss bank in October from the New York Fed, the head of its U.S. wealth arm is adding to her responsibilities.

In two FINRA enforcement cases and an arbitration award, wealth management firms are resolving allegations that they breached their duties.

UBS Group Chairman Colm Kelleher said the bank will focus on the very richest US clients, backtracking from a plan to serve a broader segment of affluent customers after it abandoned a deal to buy the robo advisor Wealthfront.