The terminations come amid a renewed push by firms to haul employees back into the office.

Sources familiar with the case say Nicholas Takahashi's name surfaced on a Wells Fargo website long after he had left to work for a competitor.

A decision backing the surviving shareholder in a family business could have carried major tax implications to succession plans. Instead, SCOTUS backed the IRS.

The American Securities Association accuses the industry regulator of violating federal sunshine law for rebuffing its requests for insight into more than $3 billion in recent settlements with Wall Street giants.

The growing number of fraud victims who suffer staggering financial losses often find themselves having to pay Uncle Sam for their missing income, experts say.

The new court action comes amid ongoing litigation over Gregg Desmarais' alleged poaching of clients and assets for Raymond James.

An industry lawyer says the firm's liability in a complex insurance-related scam will hinge on what it "should have known" or "must have known."

The U.S. Securities and Exchange Commission is looking at how social media influencers and AI technology may pose conflicts of interest, steer investors' financial decisions.

The U.S. Fifth Circuit Court of Appeals in New Orleans sided with the private funds industry, which argued that the agency overstepped its authority.

The likely more than $1 million award is the latest result from cases arguing that firms' pay policies run afoul of federal retirement law.

Brokerages have until June 26 to decide if they want to take part in a pilot program allowing them to continue inspecting their branch office remotely; plus, the rundown on residential supervisory locations

The more frequently companies report their earnings, the less likely investors are to make knee-jerk investment decisions, according to recent research.

Safety vetting generative AI in your techstack while anticipating regulatory changes can boost advisor productivity while giving firms a competitive edge.

Relationships with vendors can make or break an advisor's business; FINRA officials and industry experts discuss best practices.

There's a new method of counting defined contribution retirement plan participants that can make a big difference for clients.

The Securities and Exchange Commission's overly broad expansion of the Dealer Rule is only the latest example of the agency's yearslong effort to stifle innovation in a vibrant and growing industry.

Firms' aggressive pursuit of repayment of recruiting loans is likely a reflection of how massive some recruiting deals have become in recent years.

Difficulties loom over syncing U.S. stock exchanges with global transaction cycles.

The elimination of "staking" and associated yields tamp down enthusiasm for the products.

The financial industry regulator contends firms are unnecessarily sounding the alarm that new policies will require going into the office five days a week.