Portfolio

The firm faces an additional penalty after it didn’t participate in the regulator’s self-reporting initiative.

Private Advisor Group received capital from Merchant, while Integrated Partners has recruited nearly a dozen practices this year.

Hester Peirce will become the only GOP commissioner at the agency.

Muni bonds have not been not the quick way to big returns in 2021. But for the right client, they are the perfect addition to a portfolio focused on stability and low risk, advisors say.

It's a nearly 20% overall increase in the funds.

An expert says investors should wait until benchmark Treasuries yield 3% before abandoning growth stocks and embracing value shares.

The orders from FINRA and the SEC respectively fault the firms for unsuitable rollovers and deficiencies exposed in a microcap scheme.

Gwen Campbell is pursuing mandatory arbitration with the Wall Street institution over allegations that its private bankers aggressively courted her star clients.

A broker and a sales associate from his office face separate cases that have resulted in at least $1.18 million in payouts from their former firm.

With Senate tax writers in agreement with the House to ban the favored tax-free strategy, wealth advisors have a narrow window to make moves.