The dispute shows Edward Jones has become emboldened in taking legal actions against advisors perceived to have inflicted harm on its business interests by leaving for another firm, one industry recruiter said.

President Donald Trump took the lectern Tuesday for his primetime address beset by warning signs about the U.S. economy.

Financial advisors and their clients will need to prepare for many possible outcomes by focusing on the key themes around these eight TCJA policy issues.

Nearly 84% of U.S.-based plans have an ERISA violation, spotlighting a need for independent benchmarking audits.

President Trump and his Republican allies in Congress aim to extend the expiring provisions of the Tax Cuts and Jobs Act. But they'll need to fill in a lot of details first.

A group of nine claimants said they lost millions after the UBS broker Andrew Burish recommended they place bets that Tesla shares would decline in value.

U.S. District Judge Susan Brnovich found Ameriprise failed to furnish evidence that data taken by a recently recruited advisory team was going to be used to solicit their clients to LPL.

The Immersion conference seeks to boost the number of planners using alternatives to the traditional AUM fees one advisory practice — and attendee — at a time.

The popular online broker-dealer has caught regulators' eyes over its moves into market news, trading in sports games and other events, and a new premium credit card.

The new group will be in charge of fighting fraud not only in digital assets also in social media platforms, artificial intelligence, machine learning and blockchain technologies.

Berdina Moore-Bonds alleges that when Morgan Stanley embarked on a reorganization of its regional divisions in 2023, she and another Black woman were the only field leaders to lose their jobs.

In a legal response, LPL contends it has been sued at least seven times in the past year after recruiting advisors from industry rival Ameriprise.

The pace of natural disasters seems to be accelerating, prompting taxpayers and preparers to search for ways to deduct catastrophic losses.

The order called for agencies including the SEC and the FTC to submit draft regulations for White House review before publication.

Hester Pierce, a Republican SEC appointee, said industry watchdogs had previously been practicing regulation by enforcement with digital assets.

President Donald Trump outlined his tax priorities in a meeting with Republican lawmakers, including expanding the state and local tax deduction.

The hearing last month explored the legal process for enforcing the fiduciary duty of retirement plans to avoid excessive recordkeeping fees.

Former UBS employee Cody Rice acknowledges that his politics and personal traits made him an outlier in the ESG world. But that, he says in a lawsuit, was no excuse for the treatment he received.

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack up more than two dozen customer complaints that were eventually settled for millions.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would receive compensation for lending out their brokerage holdings.